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.
B•••• M•••••• M•••••
- A••••••• F••••••••• L••• BD affiliated currentsince Jan 11, 2021 · Tucson, Az
- M• P••••••• L•• unclassifiedJan 13, 2015 to Dec 31, 2017 · Tucson, Az
- E••••• S••••••••• I••• unclassifiedOct 11, 2006 to Dec 31, 2009 · Tucson, Az
- M•• A••••••• F•••••••• M••••••••• I••• formerMay 4, 2004 to Oct 5, 2006 · Tucson, Az
- P••••••• F•••••••• P••••••••• formerSep 16, 2003 to Dec 31, 2020 · Tucson, Az
- F•• A•••••••• I••• asset managerAug 17, 1998 to May 4, 2004 · Tucson, Az
- P••••••• F•••••••• P••••••••• to M•• A••••••• F•••••••• M••••••••• I•••left Dec 31, 2020, registered May 4, 2004 (-6085 days) · Other
- M• P••••••• L•• to A••••••• F••••••••• L•••left Dec 31, 2017, registered Jan 11, 2021 (1107 days) · Other
- E••••• S••••••••• I••• to M• P••••••• L••left Dec 31, 2009, registered Jan 13, 2015 (1839 days) · Other
- M•• A••••••• F•••••••• M••••••••• I••• to E••••• S••••••••• I•••left Oct 5, 2006, registered Oct 11, 2006 (6 days) · Other
- F•• A•••••••• I••• to P••••••• F•••••••• P•••••••••left May 4, 2004, registered Sep 16, 2003 (-231 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