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.
S•••••••• M•••• P••••••••
- S•••••• F•••••••• G••••• L••••• independent RIA currentsince Jul 3, 2024 · Akron, Oh
- F••••• I••••••••• independent RIAMar 12, 2024 to Jun 24, 2024 · Plano, Tx
- C•••••• S••••• • C••• I••• national BDMar 13, 2020 to Mar 14, 2023 · Indianapolis, In
- F••••• I••••••••• to S•••••• F•••••••• G••••• L•••••left Jun 24, 2024, registered Jul 3, 2024 (9 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to F••••• I•••••••••left Mar 14, 2023, registered Mar 12, 2024 (364 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• M•••• P•••••••• left F••••• I••••••••• for S•••••• F•••••••• G••••• L••••• (registered 2024-07-03)Jun 24, 2024 · Advisor changed firm · fact
- S•••••••• M•••• P•••••••• left C•••••• S••••• • C••• I••• for F••••• I••••••••• (registered 2024-03-12)Mar 14, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address