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.
J•••• S•• V••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 29, 2020 · Glendale, Az
- L•• F•••••••• L•• BD affiliatedJul 2, 2018 to Aug 18, 2020 · Phoenix, Az
- B•• H••••• F•••••••• A•••••••• I•• formerJul 14, 2016 to Jun 21, 2018 · Goodyear, Az
- P•• M•••••• A•••••• S••••••••• I••• formerSep 30, 2015 to Jun 3, 2016 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseApr 18, 2012 to Aug 4, 2015 · Glendale, Az
- B•• H••••• F•••••••• A•••••••• I•• formerFeb 7, 2011 to Apr 3, 2012 · Hoffman Estates, Il
- E••••• J•••• national BDMay 10, 2010 to Feb 8, 2011 · Elmhurst, Il
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 18, 2020, registered Sep 29, 2020 (42 days) · Affiliated broker-dealer or bank to another
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Jun 21, 2018, registered Jul 2, 2018 (11 days) · Affiliated broker-dealer or bank to independent RIA
- P•• M•••••• A•••••• S••••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Jun 3, 2016, registered Jul 14, 2016 (41 days) · Other
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Aug 4, 2015, registered Sep 30, 2015 (57 days) · Other · moved with a team
- B•• H••••• F•••••••• A•••••••• I•• to W•••• F•••• A•••••••left Apr 3, 2012, registered Apr 18, 2012 (15 days) · Other
- E••••• J•••• to B•• H••••• F•••••••• A•••••••• I••left Feb 8, 2011, registered Feb 7, 2011 (-1 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address