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.
I•• R••• C••••
- B•••••••• R••••• • F•••••••• I••• independent RIA currentsince May 9, 2022 · Chicago, Il
- F•••• independent RIANov 12, 2020 to Mar 1, 2022 · West Palm Beach, Fl
- A••••• A•• P••••••• S••••••• BD affiliatedDec 1, 2017 to Nov 13, 2020 · Chicago, Il
- V••••••• A•••••••• I••• BD affiliatedSep 4, 2015 to Feb 19, 2016 · Charlotte, Nc
- F•••• to B•••••••• R••••• • F•••••••• I•••left Mar 1, 2022, registered May 9, 2022 (69 days) · RIA to RIA
- A••••• A•• P••••••• S••••••• to F••••left Nov 13, 2020, registered Nov 12, 2020 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- V••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Feb 19, 2016, registered Dec 1, 2017 (651 days) · Other · moved with a team
- I•• R••• C•••• left Facet for B•••••••• R••••• • F•••••••• I••• (registered 2022-05-09)Mar 1, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address