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.
M•••••• B•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 5, 2024 · Omaha, Ne
- S•••• W•••••• L•• independent RIAMay 25, 2023 to Nov 5, 2024 · Omaha, Ne
- A••••••• A••••••• S•••••••• L•• BD affiliatedSep 6, 2022 to May 15, 2023 · Omaha, Ne
- S•••• W•••••• L•• to U•• F•••••••• S••••••• I•••left Nov 5, 2024, registered Dec 5, 2024 (30 days) · RIA to wirehouse
- A••••••• A••••••• S•••••••• L•• to S•••• W•••••• L••left May 15, 2023, registered May 25, 2023 (10 days) · Affiliated broker-dealer or bank to independent RIA
- Michael Beaulieu left Smart Wealth, Llc for Ubs Financial Services Inc. (registered 2024-12-05)Nov 5, 2024 · Advisor changed firm · fact
- Michael Beaulieu left Ameritas Advisory Services, Llc for Smart Wealth, Llc (registered 2023-05-25)May 15, 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address