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.
G•••••••• D••• V••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince May 16, 2023 · Manchester, Mo
- L•• F•••••••• L•• BD affiliatedJul 21, 2021 to Feb 28, 2022 · Fort Lauderdale, Fl
- W•••••• • R••• formerJul 31, 2018 to Jul 21, 2021 · Edmond, Ok
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 28, 2022, registered May 16, 2023 (442 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- G•••••••• D••• V•••• left L•• F•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-05-16)Feb 28, 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
- 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