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.
C••••• S••••• T••••• N•••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Guaynabo, Pr
- C••• B•••••••• S•••••••• I••• formerMay 2, 2019 to May 18, 2022 · Guaynabo, Pr
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 4, 2018 to Apr 10, 2019 · Walnut Creek, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 18, 2017 to Apr 23, 2018 · Boulder, Co
- C•••••• O•• A•••••••• L•• formerAug 28, 2015 to May 8, 2017 · Wheaton, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 17, 2015 to Jun 16, 2015 · Wheaton, Md
- E•••••••• A•••••••• L•• national BDOct 6, 2014 to Feb 2, 2015 · Manati, Pr
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to C••• B•••••••• S•••••••• I•••left Apr 10, 2019, registered May 2, 2019 (22 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Apr 23, 2018, registered May 4, 2018 (11 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• O•• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 8, 2017, registered Aug 18, 2017 (102 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• O•• A•••••••• L••left Jun 16, 2015, registered Aug 28, 2015 (73 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 2, 2015, registered Feb 17, 2015 (15 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address