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.
- F••••• I••••••••• independent RIA currentsince May 15, 2024 · Vancouver, Wa
- J••••• M••••••••• S•••• L•• BD affiliatedMar 8, 2022 to May 14, 2024 · Franklin, Tn
- H•••••••• A•••••••• L•• BD affiliatedMay 10, 2021 to Mar 1, 2022 · Newport Beach, Ca
- J••••• M••••••••• S•••• L•• to F••••• I•••••••••left May 14, 2024, registered May 15, 2024 (1 days) · Affiliated broker-dealer or bank to independent RIA
- H•••••••• A•••••••• L•• to J••••• M••••••••• S•••• L••left Mar 1, 2022, registered Mar 8, 2022 (7 days) · Affiliated broker-dealer or bank to another
- R••• S•••••• left J••••• M••••••••• S•••• L•• for F••••• I••••••••• (registered 2024-05-15)May 14, 2024 · Advisor changed firm · fact
- R••• S•••••• left H•••••••• A•••••••• L•• for J••••• M••••••••• S•••• L•• (registered 2022-03-08)Mar 1, 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