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••• L• M••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 20, 2024 · Apache Junction, Az
- L•• F•••••••• L•• BD affiliatedJul 19, 2023 to Dec 24, 2024 · Tempe, Az
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 17, 2015 to Jul 25, 2023 · Lincoln, Ne
- W•••• F•••• A••••••• wirehouseDec 4, 2013 to May 13, 2015 · Lincoln, Ne
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Dec 24, 2024, registered Dec 20, 2024 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 25, 2023, registered Jul 19, 2023 (-6 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left May 13, 2015, registered Jun 17, 2015 (35 days) · Other
- D••• L• M•••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2024-12-20)Dec 24, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address