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.
J••• A•••• B••••••
- B•••••• W••••• M••••••••• L•• former currentsince May 19, 2015 · Scottsdale, Az
- H••••• C••••••••• I••• formerOct 11, 2012 to Jan 15, 2015 · Phoenix, Az
- M•• A••••••••• formerJan 22, 2010 to Sep 4, 2012 · Phoenix, Az
- M••••••••• • A••••••••• I••• unclassifiedJul 22, 2004 to Jan 22, 2010 · Phoenix, Az
- M••••••••• • A••••••••• I•• unclassifiedSep 19, 1996 to Aug 6, 2004 · Phoenix, Az
- H••••• C••••••••• I••• to B•••••• W••••• M••••••••• L••left Jan 15, 2015, registered May 19, 2015 (124 days) · Other
- M•• A••••••••• to H••••• C••••••••• I•••left Sep 4, 2012, registered Oct 11, 2012 (37 days) · Other
- M••••••••• • A••••••••• I••• to M•• A•••••••••left Jan 22, 2010, registered Jan 22, 2010 (0 days) · Other
- M••••••••• • A••••••••• I•• to M••••••••• • A••••••••• I•••left Aug 6, 2004, registered Jul 22, 2004 (-15 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
- Former SEC-registered adviserderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address