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.
W•••••• A•••••• L•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 30, 2021 · Scottsdale, Az
- P•• M•••••• A•••••• S••••••••• I••• formerJul 25, 2013 to Jul 30, 2021 · Phoenix, Az
- F•••• F•••••••• E••••• C••••••••• formerNov 8, 2011 to Feb 6, 2012 · Scottsdale, Az
- W•••• F•••• I••••••••• L•• unclassifiedDec 19, 2006 to Jan 13, 2010 · Phoenix, Az
- B••• O•• S••••••••• C••••••••• unclassifiedOct 21, 2004 to Mar 31, 2005 · Carefree, Az
- C•••• I••••••••• S••••••• C•••• formerAug 20, 1997 to Sep 4, 2003 · New York, Ny
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Jul 30, 2021, registered Jul 30, 2021 (0 days) · Affiliated broker-dealer or bank to another
- F•••• F•••••••• E••••• C••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Feb 6, 2012, registered Jul 25, 2013 (535 days) · Other
- W•••• F•••• I••••••••• L•• to F•••• F•••••••• E••••• C•••••••••left Jan 13, 2010, registered Nov 8, 2011 (664 days) · Other
- B••• O•• S••••••••• C••••••••• to W•••• F•••• I••••••••• L••left Mar 31, 2005, registered Dec 19, 2006 (628 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••• O•• S••••••••• C•••••••••left Sep 4, 2003, registered Oct 21, 2004 (413 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address