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.
B•••• M••••••• G•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 20, 2019 · Tualatin, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 29, 2016 to Mar 1, 2019 · Henderson, Nv
- W•••••• • R••• formerApr 24, 2015 to Sep 28, 2016 · Las Vegas, Nv
- M•• F•••••••• S•••••••• I••• formerJan 5, 2015 to May 8, 2015 · Las Vegas, Nv
- N•• E•••••• S••••••••• C••••••••• formerAug 27, 2014 to Oct 9, 2014 · Las Vegas, Nv
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Mar 1, 2019, registered Feb 20, 2019 (-9 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• • R••• to C•••••••• G••••• M•••••• I•••left Sep 28, 2016, registered Sep 29, 2016 (1 days) · Other
- M•• F•••••••• S•••••••• I••• to W•••••• • R•••left May 8, 2015, registered Apr 24, 2015 (-14 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Oct 9, 2014, registered Jan 5, 2015 (88 days) · Other
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