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.
N••••••• E••• S•••••••••
- D••• D••••••• • C•• independent RIA currentsince May 15, 2024 · Great Falls, Mt
- W•••• F•••• A••••••• wirehouseAug 7, 2023 to Jan 27, 2025 · Great Falls, Mt
- D••• D••••••• • C•• independent RIAMar 2, 2022 to Feb 1, 2024 · Great Falls, Mt
- W•••• F•••• A••••••• wirehouseAug 1, 2019 to Apr 1, 2021 · Billings, Mt
- W•••• F•••• A••••••• to D••• D••••••• • C••left Jan 27, 2025, registered May 15, 2024 (-257 days) · Wirehouse to independent RIA
- D••• D••••••• • C•• to W•••• F•••• A•••••••left Feb 1, 2024, registered Aug 7, 2023 (-178 days) · RIA to wirehouse
- W•••• F•••• A••••••• to D••• D••••••• • C••left Apr 1, 2021, registered Mar 2, 2022 (335 days) · Wirehouse to independent RIA · moved with a team
- N••••••• E••• S••••••••• left W•••• F•••• A••••••• for D••• D••••••• • C•• (registered 2024-05-15)Jan 27, 2025 · Advisor changed firm · fact
- N••••••• E••• S••••••••• left D••• D••••••• • C•• for W•••• F•••• A••••••• (registered 2023-08-07)Feb 1, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address