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•••• J••• L••••
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Jun 7, 2022 · Naples, Fl
- M••••••• F••••• W••••• formerMar 29, 2017 to Jun 2, 2022 · Naples, Fl
- U••• B•••••• I••••••••• I••• formerDec 6, 2012 to Oct 10, 2013 · Naples, Fl
- A••••••••• L••• otherJun 8, 2009 to Sep 15, 2011 · Minneapolis, Mn
- M••••••• F••••• W••••• to C•••••• A•••• M••••••••• L••left Jun 2, 2022, registered Jun 7, 2022 (5 days) · RIA to RIA · moved with a team
- U••• B•••••• I••••••••• I••• to M••••••• F••••• W•••••left Oct 10, 2013, registered Mar 29, 2017 (1266 days) · Other
- A••••••••• L••• to U••• B•••••• I••••••••• I•••left Sep 15, 2011, registered Dec 6, 2012 (448 days) · Other
- D•••• J••• L•••• left M••••••• F••••• W••••• for C•••••• A•••• M••••••••• L•• (registered 2022-06-07)Jun 2, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address