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••••••• A••• J••••••
- 4• F•••••••• independent RIA currentsince Jan 3, 2023 · Austin, Tx
- T••••••• A•••••• N••••••• L•• BD affiliatedJun 29, 2020 to Dec 31, 2022 · Minneapolis, Mn
- P•• A••••••• S•••••••• L•• independent RIAJan 13, 2020 to Jul 2, 2020 · Albany, Ny
- E•••••••• A•••••••• L•• national BDApr 16, 2018 to Dec 17, 2019 · Dallas, Tx
- T••••••• A•••••• N••••••• L•• to 4• F••••••••left Dec 31, 2022, registered Jan 3, 2023 (3 days) · corporate re-registration, not a move
- P•• A••••••• S•••••••• L•• to T••••••• A•••••• N••••••• L••left Jul 2, 2020, registered Jun 29, 2020 (-3 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to P•• A••••••• S•••••••• L••left Dec 17, 2019, registered Jan 13, 2020 (27 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address