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.
G••••• R• D•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Mar 5, 2025 · Litchfield Park, Az
- O••••••••• S••••••••• I••• BD affiliatedNov 13, 2024 to Feb 12, 2025 · Indianapolis, In
- T••• F•••••••• independent RIAApr 9, 2024 to Aug 1, 2024 · Scottsdale, Az
- O••••••••• S••••••••• I••• to E•••••• F•••••••• E••••••left Feb 12, 2025, registered Mar 5, 2025 (21 days) · Affiliated broker-dealer or bank to independent RIA
- T••• F•••••••• to O••••••••• S••••••••• I•••left Aug 1, 2024, registered Nov 13, 2024 (104 days) · RIA to affiliated broker-dealer or bank
- G••••• R• D••••• left O••••••••• S••••••••• I••• for E•••••• F•••••••• E•••••• (registered 2025-03-05)Feb 12, 2025 · Advisor changed firm · fact
- G••••• R• D••••• left T••• F•••••••• for O••••••••• S••••••••• I••• (registered 2024-11-13)Aug 1, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address