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.
- S•• V••••• A••••••• state registered currentsince Jun 4, 2024 · Scottsdale, Az
- C•••••• G•••• • C• I•• formerJun 2, 2023 to May 9, 2024 · Little Silver, Nj
- E•••••••• M••• A•••• M••••••••• L•• independent RIASep 26, 2022 to May 22, 2023 · Scottsdale, Az
- C•••••• G•••• • C• I•• to S•• V••••• A•••••••left May 9, 2024, registered Jun 4, 2024 (26 days) · Affiliated broker-dealer or bank to a state-registered adviser
- E•••••••• M••• A•••• M••••••••• L•• to C•••••• G•••• • C• I••left May 22, 2023, registered Jun 2, 2023 (11 days) · RIA to affiliated broker-dealer or bank
- L•••• M••••• left C•••••• G•••• • C• I•• for S•• V••••• A••••••• (registered 2024-06-04)May 9, 2024 · Advisor changed firm · fact
- L•••• M••••• left E•••••••• M••• A•••• M••••••••• L•• for C•••••• G•••• • C• I•• (registered 2023-06-02)May 22, 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address