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.
T•••• B•••••• R••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Oct 13, 2022 · Los Angeles, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 14, 2020 to Oct 14, 2022 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 22, 2018 to Feb 3, 2020 · Scottsdale, Az
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 13, 2018 · Scottsdale, Az
- M••••• S•••••• • C•• L•• unclassifiedMar 17, 2009 to Jun 1, 2009 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 22, 2007 to Mar 16, 2009 · Phoenix, Az
- S•••••• N••••••• • C••••••• I••••••••• to R••••••••• C•••••• M•••••••••left Oct 14, 2022, registered Oct 13, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 3, 2020, registered Feb 14, 2020 (11 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 13, 2018, registered Jun 22, 2018 (9 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Mar 16, 2009, registered Mar 17, 2009 (1 days) · Other
- T•••• B•••••• R•••••• left S•••••• N••••••• • C••••••• I••••••••• for R••••••••• C•••••• M••••••••• (registered 2022-10-13)Oct 14, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address