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••• I••••••••• independent RIA currentsince Sep 22, 2023 · Plano, Tx
- F••••• I••••••••• independent RIAFeb 6, 2019 to Sep 21, 2023 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 10, 2017 to Feb 14, 2019 · Chandler, Az
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 8, 2016 to Feb 10, 2017 · Medford, Or
- J••• M••••• S••••••••• L•• wirehouseMay 28, 2015 to Oct 13, 2016 · Eagle Point, Or
- E••••• J•••• national BDFeb 13, 2014 to Jan 28, 2015 · Medford, Or
- F••••• I••••••••• to D••• I•••••••••left Sep 21, 2023, registered Sep 22, 2023 (1 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Feb 14, 2019, registered Feb 6, 2019 (-8 days) · Wirehouse to independent RIA
- C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 10, 2017, registered Mar 10, 2017 (28 days) · Other
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 13, 2016, registered Nov 8, 2016 (26 days) · Other
- E••••• J•••• to J••• M••••• S••••••••• L••left Jan 28, 2015, registered May 28, 2015 (120 days) · Affiliated broker-dealer or bank to wirehouse
- J•••••• M•••••• B••••• left F••••• I••••••••• for D••• I••••••••• (registered 2023-09-22)Sep 21, 2023 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address