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••••• C••••••••
- M•••••• BD affiliated currentsince Apr 15, 2025 · Tulsa, Ok
- F••••• I••••••••• independent RIAJan 9, 2018 to Jan 23, 2025 · Plano, Tx
- S••••••• F•••••••• S•••••••• I••• formerSep 9, 2014 to Dec 7, 2017 · Midlothian, Va
- W•••• F•••• A••••••• wirehouseJan 1, 2012 to Sep 17, 2013 · Richmond, Va
- F••••• I••••••••• to M••••••left Jan 23, 2025, registered Apr 15, 2025 (82 days) · RIA to affiliated broker-dealer or bank
- S••••••• F•••••••• S•••••••• I••• to F••••• I•••••••••left Dec 7, 2017, registered Jan 9, 2018 (33 days) · Other
- W•••• F•••• A••••••• to S••••••• F•••••••• S•••••••• I•••left Sep 17, 2013, registered Sep 9, 2014 (357 days) · Other
- A••• C••••• C•••••••• left F••••• I••••••••• for Mariner (registered 2025-04-15)Jan 23, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address