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••••• M•••• J••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Nov 3, 2021 · Omaha, Ne
- C•••••• S••••• • C••• I••• national BDSep 18, 2020 to Oct 15, 2021 · Cheyenne, Wy
- M••••• F•••••••• L•• independent RIAJun 17, 2019 to Aug 31, 2020 · Laramie, Wy
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 18, 2012 to Jun 13, 2019 · Laramie, Wy
- C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••left Oct 15, 2021, registered Nov 3, 2021 (19 days) · Affiliated broker-dealer or bank to another
- M••••• F•••••••• L•• to C•••••• S••••• • C••• I•••left Aug 31, 2020, registered Sep 18, 2020 (18 days) · RIA to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••• F•••••••• L••left Jun 13, 2019, registered Jun 17, 2019 (4 days) · Affiliated broker-dealer or bank to a newly registered adviser
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