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.
C••••••••• R• D••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Oct 21, 2021 · Chicago, Il
- M••••• S•••••• wirehouseJan 19, 2021 to Oct 8, 2021 · Atlanta, Ga
- A• W••••• M••••••••• L•• BD affiliatedMay 13, 2019 to Dec 24, 2020 · Orlando, Fl
- E•••••••• A•••••••• L•• national BDMar 13, 2019 to Apr 11, 2019 · Orlando, Fl
- M••••• S•••••• to W•••••• B•••• • C•••••• L•••••left Oct 8, 2021, registered Oct 21, 2021 (13 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A• W••••• M••••••••• L•• to M••••• S••••••left Dec 24, 2020, registered Jan 19, 2021 (26 days) · RIA to wirehouse
- E•••••••• A•••••••• L•• to A• W••••• M••••••••• L••left Apr 11, 2019, registered May 13, 2019 (32 days) · Affiliated broker-dealer or bank to independent RIA
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address