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.
S•••• J••••••• S•••
- C••••••••• W•••••• L•• independent RIA currentsince Aug 28, 2023 · Overland Park, Ks
- V••••• W•••••• L•• independent RIAJul 17, 2020 to Jun 2, 2023 · Chicago, Il
- A• W••••• M••••••••• L•• BD affiliatedJul 1, 2019 to Mar 31, 2021 · Tacoma, Wa
- I•••••••• A•••••••• L•• BD affiliatedDec 21, 2016 to Jun 25, 2019 · Oswego, Il
- A••••••••• C•••••• M••••••••• L•• unclassifiedJul 10, 2014 to Mar 31, 2015 · Holland, Mi
- V••••• W•••••• L•• to C••••••••• W•••••• L••left Jun 2, 2023, registered Aug 28, 2023 (87 days) · RIA to RIA
- A• W••••• M••••••••• L•• to V••••• W•••••• L••left Mar 31, 2021, registered Jul 17, 2020 (-257 days) · Affiliated broker-dealer or bank to independent RIA
- I•••••••• A•••••••• L•• to A• W••••• M••••••••• L••left Jun 25, 2019, registered Jul 1, 2019 (6 days) · RIA to RIA
- A••••••••• C•••••• M••••••••• L•• to I•••••••• A•••••••• L••left Mar 31, 2015, registered Dec 21, 2016 (631 days) · Other
- S•••• J••••••• S••• left V••••• W•••••• L•• for C••••••••• W•••••• L•• (registered 2023-08-28)Jun 2, 2023 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address