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••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 6, 2024 · Phoenix, Az
- O•••• F•• I••• formerApr 14, 2015 to Feb 8, 2024 · Tempe, Az
- P•••••••• S••••••••• I••• BD affiliatedFeb 10, 2009 to Apr 7, 2015 · Tempe, Az
- O•••• F•• I••• to L•• F•••••••• L••left Feb 8, 2024, registered Feb 6, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to O•••• F•• I•••left Apr 7, 2015, registered Apr 14, 2015 (7 days) · Other
- D••••• J••••• M••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-02-06)Feb 8, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address