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••• F••••••• S••••••••
- S•••••••• • A••••••••• W••••• M••••••••• L•• state registered currentsince May 27, 2011 · Tucson, Az
- I•••••••• A•••••••• L•• BD affiliatedJun 30, 2009 to May 9, 2011 · Tucson, Az
- R•••••• W••••• A•••••••• I••• independent RIAJun 20, 2008 to Jun 24, 2009 · Tucson, Az
- E•••••• C•••••• M••••••••• L•• formerSep 4, 2002 to Jan 2, 2003 · Tucson, Az
- I•••••••• A•••••••• L•• to S•••••••• • A••••••••• W••••• M••••••••• L••left May 9, 2011, registered May 27, 2011 (18 days) · Other
- R•••••• W••••• A•••••••• I••• to I•••••••• A•••••••• L••left Jun 24, 2009, registered Jun 30, 2009 (6 days) · Other
- E•••••• C•••••• M••••••••• L•• to R•••••• W••••• A•••••••• I•••left Jan 2, 2003, registered Jun 20, 2008 (1996 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address