RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T••• L••• R••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 11, 2023 · Sioux Falls, Sd
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 30, 2016 to Sep 13, 2023 · St. Louis, Mo
- M••••• S•••••• wirehouseJan 2, 2013 to Apr 19, 2016 · Sioux Falls, Sd
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Feb 23, 2010 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedDec 23, 2008 to Jan 2, 2009 · Sioux Falls, Sd
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 2, 2008 to Dec 20, 2008 · Sioux Falls, Sd
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Sep 13, 2023, registered Sep 11, 2023 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 19, 2016, registered Mar 30, 2016 (-20 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• S••••••left Feb 23, 2010, registered Jan 2, 2013 (1044 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Dec 20, 2008, registered Dec 23, 2008 (3 days) · Other
- T••• L••• R•••• left S•••••• N••••••• • C••••••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-09-11)Sep 13, 2023 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address