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.
L••••••• R••••• F••••• I•
- F••••• A•••• M••••••••• L•• former currentsince Apr 18, 2005 · Scottsdale, Az
- C••••• A••••••• L•• formerApr 17, 2003 to May 11, 2005 · Mesa, Az
- V••• F•••••••• P•••••••• L•• formerNov 7, 2002 to Apr 2, 2003 · Mesa, Az
- M••••• S•••••• D• I••• unclassifiedOct 29, 1998 to Oct 1, 2002 · Scottsdale, Az
- C••••• A••••••• L•• to F••••• A•••• M••••••••• L••left May 11, 2005, registered Apr 18, 2005 (-23 days) · Other
- V••• F•••••••• P•••••••• L•• to C••••• A••••••• L••left Apr 2, 2003, registered Apr 17, 2003 (15 days) · Other
- M••••• S•••••• D• I••• to V••• F•••••••• P•••••••• L••left Oct 1, 2002, registered Nov 7, 2002 (37 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
- Former SEC-registered adviserderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address