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••••• S•••••• wirehouse currentsince Jan 21, 2026 · Tempe, Az
- C•••••• S••••• • C••• I••• national BDJun 15, 2021 to Aug 4, 2023 · Phoenix, Az
- J••• M••••• S••••••••• L•• wirehouseMay 23, 2018 to Jul 30, 2019 · Chicago, Il
- M••••• L•• independent RIAOct 10, 2017 to Feb 15, 2018 · Chicago, Il
- C•••••• S••••• • C••• I••• to M••••• S••••••left Aug 4, 2023, registered Jan 21, 2026 (901 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Jul 30, 2019, registered Jun 15, 2021 (686 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• L•• to J••• M••••• S••••••••• L••left Feb 15, 2018, registered May 23, 2018 (97 days) · Other
- G•••••• A• D•••••• left C•••••• S••••• • C••• I••• for M••••• S•••••• (registered 2026-01-21)Aug 4, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address