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•••••• L•••••• H•••••
- P••• F•••••••• A•••••••• L•• independent RIA currentsince Aug 12, 2022 · San Diego, Ca
- M••••• F••• W••••• M••••••••• L•• independent RIAOct 13, 2014 to Jul 27, 2022 · Alexandria, Va
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJun 11, 2012 to Oct 24, 2014 · Owings Mills, Md
- E••••• J•••• national BDAug 11, 2010 to Jan 31, 2011 · St Louis, Mo
- M••••• F••• W••••• M••••••••• L•• to P••• F•••••••• A•••••••• L••left Jul 27, 2022, registered Aug 12, 2022 (16 days) · RIA to RIA
- T• R••• P•••• A••••••• S•••••••• I••• to M••••• F••• W••••• M••••••••• L••left Oct 24, 2014, registered Oct 13, 2014 (-11 days) · Other
- E••••• J•••• to T• R••• P•••• A••••••• S•••••••• I•••left Jan 31, 2011, registered Jun 11, 2012 (497 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• L•••••• H••••• left M••••• F••• W••••• M••••••••• L•• for P••• F•••••••• A•••••••• L•• (registered 2022-08-12)Jul 27, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address