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.
R•••• B• A•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 14, 2023 · Portland, Or
- T•• A•••••••• I••• BD affiliatedSep 12, 2022 to Jul 28, 2023 · Summit, Nj
- F••••• I••••••••• independent RIAMay 25, 2021 to Jul 20, 2022 · Plano, Tx
- T•• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 28, 2023, registered Aug 14, 2023 (17 days) · Affiliated broker-dealer or bank to wirehouse
- F••••• I••••••••• to T•• A•••••••• I•••left Jul 20, 2022, registered Sep 12, 2022 (54 days) · RIA to affiliated broker-dealer or bank
- R•••• B• A••••• left T•• A•••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-08-14)Jul 28, 2023 · Advisor changed firm · fact
- R•••• B• A••••• left F••••• I••••••••• for T•• A•••••••• I••• (registered 2022-09-12)Jul 20, 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address