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••••• A•••• S•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Scottsdale, Az
- O•••• F•• I••• formerFeb 28, 2012 to Jan 24, 2025 · Houston, Tx
- S•••••••• F••••••••• I••• formerOct 19, 2011 to Feb 21, 2012 · Scottsdale, Az
- S••••• I••••••••• M••••••••• L•• independent RIAFeb 16, 2011 to Jun 6, 2011 · Tucson, Az
- C••••••••• I••••••••• S•••••••• I••• unclassifiedSep 18, 2007 to Nov 4, 2008 · Chandler, Az
- W•••• F•••• I••••••••• L•• unclassifiedMar 7, 2005 to Jan 8, 2007 · Scottsdale, Az
- G•••• L•••• A•••••••• L•• otherFeb 1, 2002 to Feb 23, 2005 · Chicago, Il
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• F••••••••• I••• to O•••• F•• I•••left Feb 21, 2012, registered Feb 28, 2012 (7 days) · Other
- S••••• I••••••••• M••••••••• L•• to S•••••••• F••••••••• I•••left Jun 6, 2011, registered Oct 19, 2011 (135 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to S••••• I••••••••• M••••••••• L••left Nov 4, 2008, registered Feb 16, 2011 (834 days) · Other
- W•••• F•••• I••••••••• L•• to C••••••••• I••••••••• S•••••••• I•••left Jan 8, 2007, registered Sep 18, 2007 (253 days) · Other
- G•••• L•••• A•••••••• L•• to W•••• F•••• I••••••••• L••left Feb 23, 2005, registered Mar 7, 2005 (12 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address