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•••• D••••• C••••••
- T••• F•••••••• independent RIA currentsince Apr 3, 2008 · Scottsdale, Az
- T•••••• B••••••• A•••••• G•••• unclassifiedApr 9, 2014 to Mar 21, 2023 · Gilbert, Az
- T•••••• B••••••• A•••••• G•••• unclassifiedApr 9, 2014 to Dec 31, 2017 · Gilbert, Az
- E•••••••• A•••••••• L•• national BDOct 9, 2008 to Aug 7, 2009 · Scottsdale, Az
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAAug 31, 2005 to Apr 2, 2007 · Tempe, Az
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Aug 9, 2005 · Gilbert, Az
- P•••••• W••••• A••••••• unclassifiedMar 31, 2004 to Dec 31, 2010 · Scottsdale, Az
- M••• S••••••••• C••••••••• unclassifiedJun 3, 2002 to Jun 1, 2005 · Gilbert, Az
- T•••••• B••••••• A•••••• G•••• to no registered destinationleft Mar 21, 2023 · Departure, no registered destination
- P•••••• W••••• A••••••• to E•••••••• A•••••••• L••left Dec 31, 2010, registered Jun 1, 2005 (-2039 days) · Other
- E•••••••• A•••••••• L•• to T•••••• B••••••• A•••••• G••••left Aug 7, 2009, registered Apr 9, 2014 (1706 days) · Other
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to T••• F••••••••left Apr 2, 2007, registered Apr 3, 2008 (367 days) · Other
- E•••••••• A•••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Aug 9, 2005, registered Aug 31, 2005 (22 days) · Other
- M••• S••••••••• C••••••••• to P•••••• W••••• A•••••••left Jun 1, 2005, registered Mar 31, 2004 (-427 days) · Other
- D•••• D••••• C•••••• no longer registered at T•••••• B••••••• A•••••• G••••; no later IA registration on IAPDMar 21, 2023 · a•••••• departure · 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address