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 Jun 2, 2025 · Greenville, De
- O•••• W•••••• I••• BD affiliatedJan 24, 2025 to Apr 2, 2025 · Scottsdale, Az
- O•••• F•• I••• formerSep 28, 2023 to Jan 24, 2025 · Radnor, Pa
- O•••• W•••••• I••• to M••••• S••••••left Apr 2, 2025, registered Jun 2, 2025 (61 days) · Affiliated broker-dealer or bank to wirehouse
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- S••••• B••••• left O•••• W•••••• I••• for M••••• S•••••• (registered 2025-06-02)Apr 2, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address