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•••••• A•••••• M•••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 22, 2019 · Scottsdale, Az
- P••••••••• B•••••••• S•••••••• I••• independent RIAJun 24, 2014 to Jan 2, 2019 · Scottsdale, Az
- F•••• A••••• A••••••• S•••••••• I••• formerApr 16, 2014 to Jul 9, 2014 · Scottsdale, Az
- F•••• H•••••••• C••••••••• I••• BD affiliatedMar 19, 2007 to Apr 16, 2014 · Scottsdale, Az
- L••••• A••••••• S•••••••• I••• unclassifiedDec 19, 2003 to Feb 9, 2007 · Scottsdale, Az
- P••••••••• B•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Jan 2, 2019, registered Feb 22, 2019 (51 days) · RIA to affiliated broker-dealer or bank
- F•••• A••••• A••••••• S•••••••• I••• to P••••••••• B•••••••• S•••••••• I•••left Jul 9, 2014, registered Jun 24, 2014 (-15 days) · Other
- F•••• H•••••••• C••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Apr 16, 2014, registered Apr 16, 2014 (0 days) · Other
- L••••• A••••••• S•••••••• I••• to F•••• H•••••••• C••••••••• I•••left Feb 9, 2007, registered Mar 19, 2007 (38 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address