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.
M••• R• W••••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Mar 4, 2025 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Mar 4, 2025 · Phoenix, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 30, 2003 to Oct 23, 2009 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• W••••• P•••••••• L••left Mar 4, 2025, registered Mar 4, 2025 (0 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M••• R• W•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S•••••• W••••• P•••••••• L•• (registered 2025-03-04)Mar 4, 2025 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address