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.
A•••• T••••• R•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 20, 2023 · Newark, Oh
- C••••• A•••••• N••••••• L•• formerFeb 19, 2019 to Jan 20, 2023 · Newark, Oh
- Q•••••• A•••• M••••••••• I••• formerSep 19, 2014 to Feb 11, 2019 · Minneapolis, Mn
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Jan 20, 2023, registered Jan 20, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
- Q•••••• A•••• M••••••••• I••• to C••••• A•••••• N••••••• L••left Feb 11, 2019, registered Feb 19, 2019 (8 days) · Affiliated broker-dealer or bank to another
- A•••• T••••• R••• left C••••• A•••••• N••••••• L•• for L•• F•••••••• L•• (registered 2023-01-20)Jan 20, 2023 · a•••••• firm change · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address