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.
M••• J••••••
- C••• L•• BD affiliated currentsince Jun 12, 2023 · Nashville, Tn
- N•••••••• C•••••• M••••••••• I••• institutional currentsince Dec 5, 2021 · Nashville, Tn
- P•••••• P•••••• W••••• L•• independent RIAMay 12, 2020 to Nov 4, 2021 · Bellevue, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 23, 2019 to Nov 6, 2019 · Bellevue, Wa
- C•••••• S••••• • C••• I••• national BDJul 1, 2016 to Aug 27, 2019 · Lone Tree, Co
- P•••••• P•••••• W••••• L•• to N•••••••• C•••••• M••••••••• I•••left Nov 4, 2021, registered Dec 5, 2021 (31 days) · Other
- U•• F•••••••• S••••••• I••• to P•••••• P•••••• W••••• L••left Nov 6, 2019, registered May 12, 2020 (188 days) · Wirehouse to independent RIA · moved with a team
- C•••••• S••••• • C••• I••• to U•• F•••••••• S••••••• I•••left Aug 27, 2019, registered Aug 23, 2019 (-4 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
- Institutional managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address