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•••••• P••• S•••••••
- F•••••••• P••••••• F••••• L•• independent RIA currentsince Jun 13, 2022 · Tuscon, Az
- I••• W•••••••• I••••••••• M••••••••• L•• formerAug 2, 2013 to Dec 31, 2022 · Tucson, Az
- H•••••• S••••••••• I••• BD affiliatedAug 30, 2012 to Mar 25, 2013 · Oro Valley, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 17, 2007 to Sep 4, 2012 · Tucson, Az
- W•••• F•••• A••••••• wirehouseMar 7, 2006 to Feb 21, 2007 · Scranton, Pa
- I••• W•••••••• I••••••••• M••••••••• L•• to F•••••••• P••••••• F••••• L••left Dec 31, 2022, registered Jun 13, 2022 (-201 days) · RIA to a newly registered adviser · moved with a team
- H•••••• S••••••••• I••• to I••• W•••••••• I••••••••• M••••••••• L••left Mar 25, 2013, registered Aug 2, 2013 (130 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• S••••••••• I•••left Sep 4, 2012, registered Aug 30, 2012 (-5 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 21, 2007, registered Apr 17, 2007 (55 days) · Wirehouse to wirehouse
- M•••••• P••• S••••••• left I••• W•••••••• I••••••••• M••••••••• L•• for F•••••••• P••••••• F••••• L•• (registered 2022-06-13)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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address