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••••• M• J•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Glendale, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 23, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- U••• I••••••••• S••••••• C•••••• no RAUMOct 7, 2019 to Jul 30, 2020 · Phoenix, Az
- M••••• S•••••• wirehouseMar 1, 2019 to Sep 25, 2019 · Gilbert, Az
- I••••••••• F•••••••• G••••• L•• BD affiliatedNov 27, 2018 to Feb 22, 2019 · Scottsdale, Az
- S•••••• W••••• P•••••••• L•• BD affiliatedAug 22, 2017 to Sep 9, 2018 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDJan 3, 2011 to May 16, 2017 · Phoenix, Az
- W•••• F•••• I••••••••• L•• unclassifiedOct 16, 2002 to Aug 18, 2009 · Scottsdale, Az
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 30, 2020, registered Mar 23, 2021 (236 days) · Other · moved with a team
- M••••• S•••••• to U••• I••••••••• S••••••• C••••••left Sep 25, 2019, registered Oct 7, 2019 (12 days) · Wirehouse to affiliated broker-dealer or bank
- I••••••••• F•••••••• G••••• L•• to M••••• S••••••left Feb 22, 2019, registered Mar 1, 2019 (7 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••• W••••• P•••••••• L•• to I••••••••• F•••••••• G••••• L••left Sep 9, 2018, registered Nov 27, 2018 (79 days) · RIA to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to S•••••• W••••• P•••••••• L••left May 16, 2017, registered Aug 22, 2017 (98 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 18, 2009, registered Jan 3, 2011 (503 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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address