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.
H•• D•••
- C••••••• W••••• A•••••••• L•• independent RIA currentsince Dec 20, 2021 · Bellevue, Wa
- L•• F•••••••• L•• BD affiliatedJan 28, 2016 to Nov 19, 2021 · Belmont, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 10, 2015 to Jan 5, 2016 · Carmichael, Ca
- E••••• J•••• national BDDec 12, 2014 to Oct 15, 2015 · St Louis, Mo
- L•• F•••••••• L•• to C••••••• W••••• A•••••••• L••left Nov 19, 2021, registered Dec 20, 2021 (31 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 5, 2016, registered Jan 28, 2016 (23 days) · Other · moved with a team
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 15, 2015, registered Nov 10, 2015 (26 days) · Affiliated broker-dealer or bank to wirehouse
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