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.
N••••• R••••• A•••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince May 31, 2023 · Parrish, Fl
- P••••••• C•••••• A••••••• C••••••••• formerFeb 12, 2021 to Apr 3, 2023 · Greenwood Village, Co
- M•••••• BD affiliatedNov 27, 2019 to Jan 22, 2021 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 22, 2015 to Oct 23, 2019 · Tampa, Fl
- T• A••••••••• I••• formerJul 20, 2015 to Oct 23, 2019 · Omaha, Ne
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered May 31, 2023 (58 days) · corporate re-registration, not a move
- M•••••• to P••••••• C•••••• A••••••• C•••••••••left Jan 22, 2021, registered Feb 12, 2021 (21 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to M••••••left Oct 23, 2019, registered Nov 27, 2019 (35 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 23, 2019, registered Jul 22, 2015 (-1554 days) · channel change inside one enterprise, not a move
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address