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.
B•••• R• B••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 25, 2021 · Phoenix, Az
- P•• W••••• M••••••••• BD affiliatedAug 30, 2021 to Nov 1, 2021 · Scottsdale, Az
- P•• M•••••• A•••••• S••••••••• I••• formerJan 28, 2014 to Aug 17, 2021 · Gilbert, Az
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 23, 2013 · Gilbert, Az
- C•••• I••••••••• S••••••• C•••• formerSep 13, 2011 to Oct 1, 2012 · Gilbert, Az
- C•• F•••••••• G••••• I••• formerSep 23, 2004 to Jun 22, 2011 · Phoenix, Az
- S••••••••• A•••••• A•••••••• I••• formerFeb 10, 1999 to Jul 19, 2004 · Phoenix, Az
- P•• W••••• M••••••••• to L•• F•••••••• L••left Nov 1, 2021, registered Oct 25, 2021 (-7 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 30, 2021 (13 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Oct 23, 2013, registered Jan 28, 2014 (97 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C•• F•••••••• G••••• I••• to C•••• I••••••••• S••••••• C••••left Jun 22, 2011, registered Sep 13, 2011 (83 days) · Other
- S••••••••• A•••••• A•••••••• I••• to C•• F•••••••• G••••• I•••left Jul 19, 2004, registered Sep 23, 2004 (66 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