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.
D••••• J••••• H•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Scottsdale, Az
- F•••• F•••••••• E••••• C••••••••• formerNov 14, 2014 to Apr 20, 2022 · Scottsdale, Az
- W•••••• S••••••••• I••• BD affiliatedJun 26, 2009 to Nov 20, 2014 · Scottsdale, Az
- P•••• S•••••• • C•• institutionalNov 21, 2000 to Dec 31, 2004 · Minneapolis, Mn
- F•••• F•••••••• E••••• C••••••••• to C••••• I••••••••• A••••••• L••left Apr 20, 2022, registered Jun 29, 2023 (435 days) · corporate re-registration, not a move
- W•••••• S••••••••• I••• to F•••• F•••••••• E••••• C•••••••••left Nov 20, 2014, registered Nov 14, 2014 (-6 days) · Other
- P•••• S•••••• • C•• to W•••••• S••••••••• I•••left Dec 31, 2004, registered Jun 26, 2009 (1638 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address