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.
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- B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated currentsince Oct 17, 2019 · Tucson, Az
- M••••• S•••••• wirehouseApr 27, 2012 to Oct 17, 2019 · Tucson, Az
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 21, 2011 to Feb 9, 2012 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 21, 2005 to Jun 16, 2010 · Scottsdale, Az
- M••••• S•••••• D• I••• unclassifiedJan 23, 2001 to Sep 20, 2005 · Fresno, Ca
- M••••• S•••••• to B••••••• F• E•••••• • C••••••• I•••••••••left Oct 17, 2019, registered Oct 17, 2019 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- V•••• F•••••••• A•••••••• I••• to M••••• S••••••left Feb 9, 2012, registered Apr 27, 2012 (78 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••left Jun 16, 2010, registered Sep 21, 2011 (462 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 20, 2005, registered Oct 21, 2005 (31 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address