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.
- T•• M•••••••• C•••••• mixed wealth currentsince Jun 12, 2023 · Thiensville, Wi
- O•••• F•• I••• formerJun 2, 2022 to May 8, 2023 · Towson, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 22, 2021 to Jun 7, 2022 · Covington, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 3, 2021 to Sep 29, 2021 · Hunt Valley, Md
- P••• A••••• S••••••••• L•• BD affiliatedNov 10, 2020 to Dec 31, 2020 · Addison, Tx
- O•••• F•• I••• to T•• M•••••••• C••••••left May 8, 2023, registered Jun 12, 2023 (35 days) · Affiliated broker-dealer or bank to independent RIA
- F••••••• P••••••• A•• W•••••••• A••••••• to O•••• F•• I•••left Jun 7, 2022, registered Jun 2, 2022 (-5 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 29, 2021, registered Oct 22, 2021 (23 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P••• A••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2020, registered Feb 3, 2021 (34 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••• M•••• left O•••• F•• I••• for T•• M•••••••• C•••••• (registered 2023-06-12)May 8, 2023 · Advisor changed firm · fact
- S•••••• M•••• left F••••••• P••••••• A•• W•••••••• A••••••• for O•••• F•• I••• (registered 2022-06-02)Jun 7, 2022 · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address