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.
A••••• C•••••• R•••
- S•• I••••••••• M••••••••• C••• mixed wealth currentsince Jun 1, 2022 · Oaks, Pa
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAJun 27, 2019 to May 4, 2022 · Oakdale, Mn
- S•• I••••••••• M••••••••• C••• mixed wealthJan 30, 2012 to Mar 5, 2019 · Oaks, Pa
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to S•• I••••••••• M••••••••• C•••left May 4, 2022, registered Jun 1, 2022 (28 days) · Other
- S•• I••••••••• M••••••••• C••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Mar 5, 2019, registered Jun 27, 2019 (114 days) · Other
- A••••• C•••••• R••• left U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• for S•• I••••••••• M••••••••• C••• (registered 2022-06-01)May 4, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address