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.
- M•••••• BD affiliated currentsince Sep 7, 2023 · Phoenix, Az
- P•• A••••••• independent RIAMar 10, 2022 to Sep 3, 2023 · Phoenix, Az
- F•••• F•••••••• E••••• C••••••••• formerJul 20, 2018 to Feb 28, 2022 · Scottsdale, Az
- P•• A••••••• to M••••••left Sep 3, 2023, registered Sep 7, 2023 (4 days) · RIA to affiliated broker-dealer or bank
- F•••• F•••••••• E••••• C••••••••• to P•• A•••••••left Feb 28, 2022, registered Mar 10, 2022 (10 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• D•••••• N••••• left P•• A••••••• for Mariner (registered 2023-09-07)Sep 3, 2023 · Advisor changed firm · fact
- M•••••• D•••••• N••••• left F•••• F•••••••• E••••• C••••••••• for P•• A••••••• (registered 2022-03-10)Feb 28, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address