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.
J••••• A•••••• B••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 12, 2017 · Tucson, Az
- C••••••••• F•••••••• N•••••• national BDFeb 19, 2015 to May 12, 2017 · San Diego, Ca
- B•• F•••••••• G••••• L•• formerAug 3, 2007 to Mar 24, 2015 · Tucson, Az
- B••••••••• S••••••••• C••••••••• unclassifiedNov 9, 2005 to Jun 26, 2007 · Tucson, Az
- U•• F•••••••• S••••••• I••• wirehouseJan 2, 2003 to Oct 28, 2005 · Tucson, Az
- C••••••••• F•••••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 12, 2017, registered May 12, 2017 (0 days) · Other
- B•• F•••••••• G••••• L•• to C••••••••• F•••••••• N••••••left Mar 24, 2015, registered Feb 19, 2015 (-33 days) · Other
- B••••••••• S••••••••• C••••••••• to B•• F•••••••• G••••• L••left Jun 26, 2007, registered Aug 3, 2007 (38 days) · Other
- U•• F•••••••• S••••••• I••• to B••••••••• S••••••••• C•••••••••left Oct 28, 2005, registered Nov 9, 2005 (12 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address