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.
S••••• S•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 19, 2022 · Tucson, Az
- E••••• J•••• national BDOct 6, 2016 to Jan 20, 2022 · Tucson, Az
- W•••• F•••• A••••••• wirehouseJul 17, 2013 to Oct 6, 2016 · Tucson, Az
- A••••••••• I••• BD affiliatedJul 8, 2011 to Jun 7, 2013 · Concord, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 28, 2010 to Mar 24, 2011 · Houston, Tx
- C•••• C•••••• S••••••••• L••• formerJan 28, 2009 to Nov 23, 2009 · Flagstaff, Az
- W•••• F•••• I••••••••• L•• unclassifiedFeb 28, 2007 to Aug 11, 2008 · Sedona, Az
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 20, 2022, registered Jan 19, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to E••••• J••••left Oct 6, 2016, registered Oct 6, 2016 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• I••• to W•••• F•••• A•••••••left Jun 7, 2013, registered Jul 17, 2013 (40 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••••••• I•••left Mar 24, 2011, registered Jul 8, 2011 (106 days) · Other
- C•••• C•••••• S••••••••• L••• to V•••• F•••••••• A•••••••• I•••left Nov 23, 2009, registered Sep 28, 2010 (309 days) · Other
- W•••• F•••• I••••••••• L•• to C•••• C•••••• S••••••••• L•••left Aug 11, 2008, registered Jan 28, 2009 (170 days) · Other
- S••••• S••••••• left E••••• J•••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-19)Jan 20, 2022 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address