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.
A•••• R••••••
- C••••••• A•••• M••••••••• L•• BD affiliated currentsince Apr 23, 2021 · Ann Arbor, Mi
- S•• I••••••••• A•••••••• I••• formerDec 23, 2020 to Apr 28, 2021 · San Diego, Ca
- P••••••••• B•••••••• S•••••••• I••• independent RIAOct 21, 2020 to Dec 23, 2020 · Valencia, Ca
- S•• I••••••••• A•••••••• I••• to C••••••• A•••• M••••••••• L••left Apr 28, 2021, registered Apr 23, 2021 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- P••••••••• B•••••••• S•••••••• I••• to S•• I••••••••• A•••••••• I•••left Dec 23, 2020, registered Dec 23, 2020 (0 days) · RIA to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address