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.
T••• R••••• F•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Waverly, Ia
- C••• B•••••••• S•••••••• I••• formerJun 3, 2015 to May 18, 2022 · Jacksonville, Ar
- U••• F•••••••• P••••••• S••••••• formerMay 6, 2011 to Nov 1, 2012 · Tampa, Fl
- E••••• J•••• national BDNov 16, 2009 to Jun 9, 2010 · St Louis, Mo
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to C••• B•••••••• S•••••••• I•••left Nov 1, 2012, registered Jun 3, 2015 (944 days) · Other
- E••••• J•••• to U••• F•••••••• P••••••• S•••••••left Jun 9, 2010, registered May 6, 2011 (331 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address