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.
D•••• C••••••••• W••••
- F••••••••• P••••••••• state registered currentsince Jan 27, 2022 · Las Vegas, Nv
- L•• F•••••••• L•• BD affiliatedSep 29, 2016 to Jul 1, 2021 · Las Vegas, Nv
- C••• F•••••••• S•••••••• L••• formerFeb 6, 2013 to Sep 9, 2016 · Las Vegas, Nv
- C••••••••• F•••••••• N•••••• national BDFeb 15, 2012 to Dec 31, 2012 · St. George, Ut
- L•• F•••••••• L•• BD affiliatedNov 2, 2011 to Feb 23, 2012 · St. George, Ut
- M•• F•••••••• S•••••••• I••• formerDec 17, 2009 to Oct 17, 2011 · Las Vegas, Nv
- L•• F•••••••• L•• to F••••••••• P•••••••••left Jul 1, 2021, registered Jan 27, 2022 (210 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Sep 9, 2016, registered Sep 29, 2016 (20 days) · Other
- C••••••••• F•••••••• N•••••• to C••• F•••••••• S•••••••• L•••left Dec 31, 2012, registered Feb 6, 2013 (37 days) · Other
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Feb 23, 2012, registered Feb 15, 2012 (-8 days) · Other
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 17, 2011, registered Nov 2, 2011 (16 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address