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•••• N• C•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 2, 2021 · Las Vegas, Nv
- B••••••• I••••••••• S•••••••• I••• ••••• formerDec 6, 2017 to Mar 17, 2021 · Henderson, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDNov 19, 2013 to Nov 28, 2017 · Henderson, Nv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 29, 2011 to May 1, 2012 · Las Vegas, Nv
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 11, 2010 to Jun 17, 2010 · Beverly Hills, Ca
- T• A••••••••• I••• formerJan 11, 2010 to Jun 17, 2010 · Beverly Hills, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to J••• M••••• S••••••••• L••left Mar 17, 2021, registered Apr 2, 2021 (16 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 28, 2017, registered Dec 6, 2017 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left May 1, 2012, registered Nov 19, 2013 (567 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 17, 2010, registered Jan 11, 2010 (-157 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 17, 2010, registered Jan 11, 2010 (-157 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address