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.
L•••• P••• T••••• B•••••••
- W••••••••• P••••••• independent RIA currentsince Apr 19, 2024 · O••••, Ne
- S••••••••• A•••••• A•••••••• I••• formerJun 22, 2021 to Apr 12, 2024 · O••••, Ne
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJan 30, 2020 to Jun 18, 2021 · O••••, Ne
- S••••••••• A•••••• A•••••••• I••• to W••••••••• P•••••••left Apr 12, 2024, registered Apr 19, 2024 (7 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• O• O•••• I••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jun 18, 2021, registered Jun 22, 2021 (4 days) · Other
- L•••• P••• T••••• B••••••• left S••••••••• A•••••• A•••••••• I••• for W••••••••• P••••••• (registered 2024-04-19)Apr 12, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address