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.
R••••• J••••• B•••••
- D••••••••• M••••• L•• state registered currentsince Feb 4, 2015 · Phoenix, Az
- O••••• I••••••••• A••••••• L•• independent RIAAug 3, 2021 to Mar 10, 2023 · Phoenix, Az
- S••••••• M••••• L•• independent RIAJun 29, 2012 to May 15, 2015 · Scottsdale, Az
- M••••• C•••••• A•••••••• L•• unclassifiedSep 16, 2011 to Jun 18, 2012 · Goodyear, Az
- P••••••••• F•••••••• S••••••• L•• formerJul 17, 2008 to Mar 7, 2012 · Phoenix, Az
- M••••••••• • A••••••••• I••• unclassifiedSep 26, 2005 to Apr 1, 2008 · Phoenix, Az
- D••••••••• I••••••••• L•• unclassifiedSep 2, 2003 to Jul 25, 2005 · Phoenix, Az
- K•••• C••••••• A•• A••••••••• I••• unclassifiedFeb 7, 2000 to Aug 8, 2003 · Phoenix, Az
- O••••• I••••••••• A••••••• L•• to no registered destinationleft Mar 10, 2023 · Departure, no registered destination
- S••••••• M••••• L•• to D••••••••• M••••• L••left May 15, 2015, registered Feb 4, 2015 (-100 days) · Other
- M••••• C•••••• A•••••••• L•• to S••••••• M••••• L••left Jun 18, 2012, registered Jun 29, 2012 (11 days) · Other
- P••••••••• F•••••••• S••••••• L•• to M••••• C•••••• A•••••••• L••left Mar 7, 2012, registered Sep 16, 2011 (-173 days) · Other
- M••••••••• • A••••••••• I••• to P••••••••• F•••••••• S••••••• L••left Apr 1, 2008, registered Jul 17, 2008 (107 days) · Other
- D••••••••• I••••••••• L•• to M••••••••• • A••••••••• I•••left Jul 25, 2005, registered Sep 26, 2005 (63 days) · Other
- K•••• C••••••• A•• A••••••••• I••• to D••••••••• I••••••••• L••left Aug 8, 2003, registered Sep 2, 2003 (25 days) · Other
- R••••• J••••• B••••• no longer registered at O••••• I••••••••• A••••••• L••; no later IA registration on IAPDMar 10, 2023 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address