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.
J•••••• D••• T•••••••
- A•••••• L•• independent RIA currentsince Jan 1, 2025 · Santa Barbara, Ca
- C••••••••• W•••••• L•• independent RIAMay 29, 2018 to Jul 30, 2020 · Los Angeles, Ca
- S•••••••• A••••••• L•• national BDJan 19, 2012 to Jun 29, 2017 · Indianapolis, In
- E••••• J•••• national BDJan 24, 2011 to Jan 6, 2012 · St Louis, Mo
- C••••••••• W•••••• L•• to A•••••• L••left Jul 30, 2020, registered Jan 1, 2025 (1616 days) · RIA to RIA
- S•••••••• A••••••• L•• to C••••••••• W•••••• L••left Jun 29, 2017, registered May 29, 2018 (334 days) · Affiliated broker-dealer or bank to independent RIA
- E••••• J•••• to S•••••••• A••••••• L••left Jan 6, 2012, registered Jan 19, 2012 (13 days) · Affiliated broker-dealer or bank to another
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