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.
S•••• M••••• P••••••
- G•••••• W••••• S•••••••• state registered currentsince Jan 4, 2024 · Richmond, Va
- C•••••• F•••••••• independent RIASep 1, 2022 to Jan 3, 2024 · Topeka, Ks
- U•• F•••••••• S••••••• I••• wirehouseJul 16, 2018 to Aug 30, 2022 · Hunt Valley, Md
- C•••••• F•••••••• to G•••••• W••••• S••••••••left Jan 3, 2024, registered Jan 4, 2024 (1 days) · RIA to a state-registered adviser
- U•• F•••••••• S••••••• I••• to C•••••• F••••••••left Aug 30, 2022, registered Sep 1, 2022 (2 days) · Wirehouse to independent RIA
- S•••• M••••• P•••••• left C•••••• F•••••••• for G•••••• W••••• S•••••••• (registered 2024-01-04)Jan 3, 2024 · Advisor changed firm · fact
- S•••• M••••• P•••••• left U•• F•••••••• S••••••• I••• for C•••••• F•••••••• (registered 2022-09-01)Aug 30, 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address