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••••• A••••• H•••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 21, 2024 · Plymouth, Mn
- A•••• F•••••••• F••••••••• L•• formerSep 2, 2020 to Jun 18, 2024 · Sarasota, Fl
- S•••••••• W••••• M••••••••• L•• formerMay 24, 2012 to Aug 17, 2020 · Cary, Nc
- A•••• F•••••••• F••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jun 18, 2024, registered Jun 21, 2024 (3 days) · RIA to RIA · moved with a team
- S•••••••• W••••• M••••••••• L•• to A•••• F•••••••• F••••••••• L••left Aug 17, 2020, registered Sep 2, 2020 (16 days) · RIA to a newly registered adviser · moved with a team
- A••••• A••••• H••• left A•••• F•••••••• F••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-21)Jun 18, 2024 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address