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•••••• A• S•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Queen Creek, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 20, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- U••• B•••••• I••••••••• I••• formerMay 7, 2019 to Mar 19, 2020 · Tucson, Az
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedJun 17, 2018 to Apr 29, 2019 · Columbus, Oh
- Q•••••• A•••• M••••••••• I••• formerDec 22, 2017 to Jun 29, 2018 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedOct 21, 2015 to Nov 29, 2017 · Scottsdale, Az
- U••• F•••••••• P••••••• S••••••• formerMar 2, 2015 to Oct 29, 2015 · Phoenix, Az
- W••••••• F•••••••• S•••••••• I••• formerSep 24, 2009 to Dec 18, 2014 · Scottsdale, Az
- O••••••••• • C•• I••• BD affiliatedDec 15, 2005 to Sep 30, 2009 · Scottsdale, Az
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 19, 2020, registered Jul 20, 2021 (488 days) · Affiliated broker-dealer or bank to another
- N••••••••• I••••••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Apr 29, 2019, registered May 7, 2019 (8 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to N••••••••• I••••••••• A•••••••• L••left Jun 29, 2018, registered Jun 17, 2018 (-12 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to Q•••••• A•••• M••••••••• I•••left Nov 29, 2017, registered Dec 22, 2017 (23 days) · RIA to affiliated broker-dealer or bank
- U••• F•••••••• P••••••• S••••••• to L•• F•••••••• L••left Oct 29, 2015, registered Oct 21, 2015 (-8 days) · Other
- W••••••• F•••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Dec 18, 2014, registered Mar 2, 2015 (74 days) · Other
- O••••••••• • C•• I••• to W••••••• F•••••••• S•••••••• I•••left Sep 30, 2009, registered Sep 24, 2009 (-6 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address