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.
M••• J••• F••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Apr 5, 2021 · Tucson, Az
- P•• A••••••• independent RIADec 19, 2019 to Jan 22, 2020 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedJul 12, 2018 to Dec 6, 2019 · Tucson, Az
- W•••• F•••• A••••••• wirehouseFeb 6, 2007 to Jul 1, 2009 · Tucson, Az
- P•• A••••••• to A••••••• F•••••••• A•••••••• L••left Jan 22, 2020, registered Apr 5, 2021 (439 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to P•• A•••••••left Dec 6, 2019, registered Dec 19, 2019 (13 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 1, 2009, registered Jul 12, 2018 (3298 days) · Wirehouse to independent RIA
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address