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••••• S•••••• wirehouse currentsince Aug 11, 2026 · Sioux Falls, Sd
- L•• F•••••••• L•• BD affiliatedAug 12, 2025 to Aug 5, 2026 · Sioux Falls, Sd
- M••••• S•••••• wirehouseDec 21, 2024 to Jul 14, 2025 · Tempe, Az
- L•• F•••••••• L•• to M••••• S••••••left Aug 5, 2026, registered Aug 11, 2026 (6 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to L•• F•••••••• L••left Jul 14, 2025, registered Aug 12, 2025 (29 days) · Wirehouse to affiliated broker-dealer or bank
- K••••• D••••• left L•• F•••••••• L•• for M••••• S•••••• (registered 2026-08-11)Aug 5, 2026 · Advisor changed firm · fact
- K••••• D••••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2025-08-12)Jul 14, 2025 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address