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••••• W••••• H••••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Jun 24, 2022 · Scottsdale, Az
- C••• F•••••••• S•••••••• L••• formerSep 20, 2017 to Jun 27, 2022 · Cheyenne, Wy
- L•• F•••••••• L•• BD affiliatedNov 29, 2016 to Sep 21, 2017 · Cheyenne, Wy
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Nov 29, 2016 · Cheyenne, Wy
- C••••• I••••••••• S••••••• L•• formerSep 19, 2013 to Jan 21, 2014 · Cheyenne, Wy
- C••• F•••••••• S•••••••• L••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Jun 27, 2022, registered Jun 24, 2022 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Sep 21, 2017, registered Sep 20, 2017 (-1 days) · Other
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Nov 29, 2016, registered Nov 29, 2016 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- D••••• W••••• H•••••• left C••• F•••••••• S•••••••• L••• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2022-06-24)Jun 27, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address