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.
P••• W• M•••••
- E•••••• F•••••••• G•••• independent RIA currentsince Jun 2, 2022 · Minneapolis, Mn
- M••••• S•••••• wirehouseJul 1, 2021 to Apr 21, 2022 · Gilbert, Az
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jun 29, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerSep 14, 2016 to Jan 8, 2018 · Phoenix, Az
- M••••• S•••••• to E•••••• F•••••••• G••••left Apr 21, 2022, registered Jun 2, 2022 (42 days) · Wirehouse to independent RIA
- U••• I••••••••• S••••••• C•••••• to M••••• S••••••left Jun 29, 2020, registered Jul 1, 2021 (367 days) · Other · moved with a team
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- P••• W• M••••• left M••••• S•••••• for E•••••• F•••••••• G•••• (registered 2022-06-02)Apr 21, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address