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.
D•••• C••••••
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Jan 17, 2023 · Chandler, Az
- F•• W••••• M••••••••• L•• BD affiliatedNov 23, 2020 to May 11, 2021 · West Des Moines, Ia
- P•• M•••••• A•••••• S••••••••• I••• formerNov 5, 2019 to Nov 16, 2020 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseJun 7, 2013 to Jul 22, 2016 · Scottsdale, Az
- E••••• J•••• national BDDec 17, 2012 to May 24, 2013 · St Louis, Mo
- F•• W••••• M••••••••• L•• to S•••• F••• I••••••••• M••••••••• C••••left May 11, 2021, registered Jan 17, 2023 (616 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to F•• W••••• M••••••••• L••left Nov 16, 2020, registered Nov 23, 2020 (7 days) · Other
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Jul 22, 2016, registered Nov 5, 2019 (1201 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left May 24, 2013, registered Jun 7, 2013 (14 days) · Affiliated broker-dealer or bank to wirehouse
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address