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.
R••• K•••• C••••
- T•• A•••••••• G•••• BD affiliated currentsince May 4, 2020 · Las Vegas, Nv
- S•••••••• F••••••••• I••• formerNov 2, 2018 to Jul 16, 2020 · Scottsdale, Az
- S••••••••• A•••••• A•••••••• I••• formerMar 6, 2009 to Nov 6, 2018 · Scottsdale, Az
- O•••• F•• I••• formerMay 7, 2001 to Feb 13, 2009 · Scottsdale, Az
- S•••••••• F••••••••• I••• to T•• A•••••••• G••••left Jul 16, 2020, registered May 4, 2020 (-73 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• A•••••• A•••••••• I••• to S•••••••• F••••••••• I•••left Nov 6, 2018, registered Nov 2, 2018 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• F•• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 13, 2009, registered Mar 6, 2009 (21 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address