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••• A•••• H••••••
- H•••••• I••••••••• I••• independent RIA currentsince Feb 1, 2018 · Phoenix, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 15, 2012 to Feb 14, 2018 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedJun 18, 2004 to Nov 5, 2012 · Phoenix, Az
- H•••••• T••••••• • K•••• L•• independent RIANov 30, 2001 to Jul 16, 2004 · Salt Lake City, Ut
- C•••••••• I••••••••• R••••••• A•••••••• I••• to H•••••• I••••••••• I•••left Feb 14, 2018, registered Feb 1, 2018 (-13 days) · Other
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 5, 2012, registered Nov 15, 2012 (10 days) · Other
- H•••••• T••••••• • K•••• L•• to L•• F•••••••• L••left Jul 16, 2004, registered Jun 18, 2004 (-28 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address