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••••• D• B••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 5, 2018 · Tucson, Az
- A•••••• A••••••• S••••••• formerSep 23, 2014 to May 1, 2018 · Tucson, Az
- A•••••• A••••••• S••••••• formerJun 11, 2008 to Oct 3, 2012 · Tucson, Az
- C•• F•••••••• G••••• I••• formerAug 29, 2006 to Sep 5, 2006 · Tucson, Az
- C•••••• S••••• • C••• I••• national BDFeb 23, 2000 to Jul 8, 2004 · Las Vegas, Nv
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left May 1, 2018, registered Jul 5, 2018 (65 days) · Affiliated broker-dealer or bank to independent RIA
- C•• F•••••••• G••••• I••• to A•••••• A••••••• S•••••••left Sep 5, 2006, registered Jun 11, 2008 (645 days) · Other
- C•••••• S••••• • C••• I••• to C•• F•••••••• G••••• I•••left Jul 8, 2004, registered Aug 29, 2006 (782 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address