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.
M•••••• C•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Grosse Pointe Wood, Mi
- A•••••• P••••••• P•••••••• I••• BD affiliated currentsince Aug 9, 2021 · Dubuque, Ia
- A•••••• A••••••• S••••••• formerApr 4, 2024 to Sep 5, 2025 · Dallas, Tx
- R••••• W• B•••• • C•• I••••••••• mixed wealthApr 5, 2016 to Aug 12, 2021 · Reston, Va
- U•• F•••••••• S••••••• I••• wirehouseFeb 7, 2013 to Dec 11, 2015 · Washington, Dc
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- R••••• W• B•••• • C•• I••••••••• to A•••••• P••••••• P•••••••• I•••left Aug 12, 2021, registered Aug 9, 2021 (-3 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Dec 11, 2015, registered Apr 5, 2016 (116 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address