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.
L••••••• P•••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Aug 30, 2022 · Milwaukee, Wi
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 20, 2021 to Jul 15, 2022 · Johns Creek, Ga
- K•• I••••••••• S••••••• L•• BD affiliatedDec 23, 2020 to Jul 15, 2021 · Brooklyn, Oh
- P•• M•••••• A•••••• S••••••••• I••• formerApr 30, 2019 to Dec 21, 2020 · Dallas, Tx
- C•••••• S••••• • C••• I••• national BDJun 5, 2018 to Apr 12, 2019 · Fort Worth, Tx
- T••••••••• F•••••••• A•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jul 15, 2022, registered Aug 30, 2022 (46 days) · Other
- K•• I••••••••• S••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Jul 15, 2021, registered Jul 20, 2021 (5 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to K•• I••••••••• S••••••• L••left Dec 21, 2020, registered Dec 23, 2020 (2 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Apr 12, 2019, registered Apr 30, 2019 (18 days) · Affiliated broker-dealer or bank to another
- L••••••• P••• left T••••••••• F•••••••• A•••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2022-08-30)Jul 15, 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
- No RAUM reportedderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address