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•••••• P•••• W••••••••
- P•• A••••••• independent RIA currentsince Aug 31, 2021 · Phoenix, Az
- P•• M•••••• A•••••• S••••••••• I••• formerSep 28, 2015 to Aug 23, 2021 · Phoenix, Az
- J••• M••••• S••••••••• L•• wirehouseFeb 1, 2014 to Sep 24, 2015 · Fort Worth, Tx
- P•• M•••••• A•••••• S••••••••• I••• to P•• A•••••••left Aug 23, 2021, registered Aug 31, 2021 (8 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Sep 24, 2015, registered Sep 28, 2015 (4 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address