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.
A••• C•••••• C••••••
- D•••••• W••••• A••••••• independent RIA currentsince Jan 3, 2014 · Heber City, Ut
- K•• F•••••••• S•••••••• I•• formerDec 9, 2011 to Dec 31, 2013 · Surprise, Az
- W••••• M••••••••• I••••••••• L••• formerJun 2, 2010 to Dec 20, 2011 · Peoria, Az
- T•• P••••••• N••••••• I••• formerSep 2, 2004 to Sep 14, 2010 · Peoria, Az
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 24, 2001 to Apr 26, 2010 · Peoria, Az
- K•• F•••••••• S•••••••• I•• to D•••••• W••••• A•••••••left Dec 31, 2013, registered Jan 3, 2014 (3 days) · Other
- W••••• M••••••••• I••••••••• L••• to K•• F•••••••• S•••••••• I••left Dec 20, 2011, registered Dec 9, 2011 (-11 days) · Other
- T•• P••••••• N••••••• I••• to W••••• M••••••••• I••••••••• L•••left Sep 14, 2010, registered Jun 2, 2010 (-104 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•• P••••••• N••••••• I•••left Apr 26, 2010, registered Sep 2, 2004 (-2062 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address