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.
T••••• J• B••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Gilbert, Az
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 6, 2009 to Jun 9, 2021 · Gilbert, Az
- S•••••••• F••••••••• I••• formerJun 4, 2008 to Mar 2, 2009 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedFeb 16, 2007 to Jun 4, 2008 · Mesa, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 15, 2002 to Feb 21, 2007 · Mesa, Az
- E•••• A•••• M••••••••• I•• mixed wealthFeb 28, 2002 to Oct 8, 2002 · St. Petersburg, Fl
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- S•••••••• F••••••••• I••• to V••• F•••••••• A•••••••• I•••left Mar 2, 2009, registered Mar 6, 2009 (4 days) · Other
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Jun 4, 2008, registered Jun 4, 2008 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Feb 21, 2007, registered Feb 16, 2007 (-5 days) · Other
- E•••• A•••• M••••••••• I•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 8, 2002, registered Aug 15, 2002 (-54 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