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••••• E••••• K•••••
- P•• A••••••• independent RIA currentsince Feb 27, 2015 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedFeb 11, 2009 to Jul 18, 2017 · Gilbert, Az
- C•• F•••••••• G••••• I••• formerFeb 22, 2006 to Jan 21, 2009 · Phoenix, Az
- C••• B•••••••• S•••••••• I••• formerSep 13, 2005 to Feb 2, 2006 · Tempe, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Aug 9, 2005 · Phoenix, Az
- C•••••••• I••••••••• R•••••••• I••• unclassifiedAug 8, 2003 to Mar 28, 2005 · Phoenix, Az
- B••• O•• S••••••••• C••••••••• unclassifiedNov 18, 1996 to Jul 31, 2003 · Phoenix, Az
- L•• F•••••••• L•• to P•• A•••••••left Jul 18, 2017, registered Feb 27, 2015 (-872 days) · Other · moved with a team
- C•• F•••••••• G••••• I••• to L•• F•••••••• L••left Jan 21, 2009, registered Feb 11, 2009 (21 days) · Other
- C••• B•••••••• S•••••••• I••• to C•• F•••••••• G••••• I•••left Feb 2, 2006, registered Feb 22, 2006 (20 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••• B•••••••• S•••••••• I•••left Aug 9, 2005, registered Sep 13, 2005 (35 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to C•••••••• I••••••••• R•••••••• I•••left Jul 31, 2003, registered Aug 8, 2003 (8 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address