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.
- F••••• I••••••••• independent RIA currentsince Mar 22, 2022 · Plano, Tx
- O••••••••• S••••••••• I••• BD affiliatedApr 15, 2019 to Feb 8, 2022 · Gilbert, Az
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAFeb 20, 2019 to Apr 15, 2019 · Phoenix, Az
- O••••••••• S••••••••• I••• to F••••• I•••••••••left Feb 8, 2022, registered Mar 22, 2022 (42 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• O• O•••• I••••••• S•••••••• I••• to O••••••••• S••••••••• I•••left Apr 15, 2019, registered Apr 15, 2019 (0 days) · Other
- R••• A••• Y•••••• left O••••••••• S••••••••• I••• for F••••• I••••••••• (registered 2022-03-22)Feb 8, 2022 · 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