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.
E•••• M•••• F•••••••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Feb 18, 2025 · Stamford, Ct
- D••• D••••••• • C•• independent RIAOct 24, 2019 to Apr 21, 2022 · Kalispell, Mt
- W•••• F•••• A••••••• wirehouseApr 26, 2016 to Oct 25, 2019 · Kalispell, Mt
- D••• D••••••• • C•• to S•••••• P••••••• I••••••••• A•••••••• L••left Apr 21, 2022, registered Feb 18, 2025 (1034 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to D••• D••••••• • C••left Oct 25, 2019, registered Oct 24, 2019 (-1 days) · Wirehouse to independent RIA
- E•••• M•••• F••••••••• left D••• D••••••• • C•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-02-18)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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address