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.
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- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Nov 12, 2024 · Minneapolis, Mn
- P•••• S••••••••• L•• no RAUMApr 2, 2024 to Sep 9, 2024 · Tampa, Fl
- E••••• J•••• national BDSep 22, 2022 to Nov 9, 2023 · St Louis, Mo
- P•••• S••••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Sep 9, 2024, registered Nov 12, 2024 (64 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to P•••• S••••••••• L••left Nov 9, 2023, registered Apr 2, 2024 (145 days) · Affiliated broker-dealer or bank to another
- L•••••• N• R•••••• left P•••• S••••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2024-11-12)Sep 9, 2024 · Advisor changed firm · fact
- L•••••• N• R•••••• left E••••• J•••• for P•••• S••••••••• L•• (registered 2024-04-02)Nov 9, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address