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.
G••• K•••• I•••
- F•••••••• P••••••• F••••• L•• independent RIA currentsince Jun 29, 2022 · Tuscon, Az
- I••• W•••••••• I••••••••• M••••••••• L•• formerMay 17, 2011 to Dec 31, 2022 · Tucson, Az
- R•• C•••••• M••••••• L•• national BDMar 9, 2002 to May 19, 2011 · Tucson, Az
- I••• W•••••••• I••••••••• M••••••••• L•• to F•••••••• P••••••• F••••• L••left Dec 31, 2022, registered Jun 29, 2022 (-185 days) · RIA to a newly registered adviser · moved with a team
- R•• C•••••• M••••••• L•• to I••• W•••••••• I••••••••• M••••••••• L••left May 19, 2011, registered May 17, 2011 (-2 days) · Other
- G••• K•••• I••• left I••• W•••••••• I••••••••• M••••••••• L•• for F•••••••• P••••••• F••••• L•• (registered 2022-06-29)Dec 31, 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address