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•••••• T••••• S•••••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jul 19, 2023 · Charleston, Sc
- E•••••• C•••••• M••••••••• L•• formerSep 11, 2019 to Apr 3, 2023 · New York, Ny
- C•••••• S••••• • C••• I••• national BDNov 20, 2017 to Aug 12, 2019 · Lone Tree, Co
- E•••••• C•••••• M••••••••• L•• to R••••• W• B•••• • C•• I•••••••••left Apr 3, 2023, registered Jul 19, 2023 (107 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••left Aug 12, 2019, registered Sep 11, 2019 (30 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• T••••• S••••••• left E•••••• C•••••• M••••••••• L•• for R••••• W• B•••• • C•• I••••••••• (registered 2023-07-19)Apr 3, 2023 · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address