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.
E•••••• F•••• C••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 6, 2023 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerJul 20, 2022 to Sep 1, 2023 · Humboldt, Tn
- U••• B•••••• A•••••••• L•• BD affiliatedJun 8, 2016 to Feb 1, 2021 · Glendale, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 2, 2016 to Jun 7, 2016 · El Segundo, Ca
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 6, 2023 (5 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to S•••••••• F••••••••• I•••left Feb 1, 2021, registered Jul 20, 2022 (534 days) · Affiliated broker-dealer or bank to another
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to U••• B•••••• A•••••••• L••left Jun 7, 2016, registered Jun 8, 2016 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address