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••••• R•••• K••••••
- E••••••••• I••• independent RIA currentsince Nov 1, 1999 · Phoenix, Az
- 7•• C••••••• L•• independent RIAOct 7, 2024 to Dec 31, 2025 · Phoenix, Az
- J•••••• W••••• M••••••••• L•• formerJun 22, 2020 to Mar 25, 2024 · Phoenix, Az
- 7•• C••••••• L•• to no registered destinationleft Dec 31, 2025 · Departure, no registered destination
- J•••••• W••••• M••••••••• L•• to 7•• C••••••• L••left Mar 25, 2024, registered Oct 7, 2024 (196 days) · RIA to RIA
- R••••• R•••• K•••••• no longer registered at 7•• C••••••• L••; no later IA registration on IAPDDec 31, 2025 · Advisor departure · fact
- R••••• R•••• K•••••• left J•••••• W••••• M••••••••• L•• for 7•• C••••••• L•• (registered 2024-10-07)Mar 25, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address