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.
F•••• T••••• W••••••
- S•• B•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Aug 24, 2021 · Russellville, Ar
- I••••••••• F•••••••• P••••••• BD affiliatedSep 6, 2018 to Sep 17, 2021 · Tucson, Az
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Aug 31, 2017 · Tucson, Az
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 23, 2007 to Jan 2, 2009 · Mesa, Az
- O••••••••• • C•• I••• BD affiliatedFeb 24, 2005 to Mar 1, 2007 · Newport Beach, Ca
- S•••• I••••••••• A••••••• I••••••••• state registeredSep 24, 2002 to Feb 15, 2005 · Newport Beach, Ca
- I••••••••• F•••••••• P••••••• to S•• B•••••• F•••••••• S•••••••• I•••left Sep 17, 2021, registered Aug 24, 2021 (-24 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I••••••••• F•••••••• P•••••••left Aug 31, 2017, registered Sep 6, 2018 (371 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- O••••••••• • C•• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Mar 1, 2007, registered Mar 23, 2007 (22 days) · Other
- S•••• I••••••••• A••••••• I••••••••• to O••••••••• • C•• I•••left Feb 15, 2005, registered Feb 24, 2005 (9 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address