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.
R••••• P••• E•••••••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Apr 27, 2023 · Missoula, Mt
- S••••••••• A•••••• A•••••••• I••• formerMar 1, 2021 to Feb 1, 2024 · Missoula, Mt
- P•••••••• A••••••• national BDSep 27, 2017 to Jul 19, 2021 · Winter Haven, Fl
- S••••••••• A•••••• A•••••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••left Feb 1, 2024, registered Apr 27, 2023 (-280 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Jul 19, 2021, registered Mar 1, 2021 (-140 days) · Affiliated broker-dealer or bank to another
- R••••• P••• E••••••••• left S••••••••• A•••••• A•••••••• I••• for L•••••• S•• I••••••••• A•••••••• L••••• (registered 2023-04-27)Feb 1, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address