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.
D••••• A• B••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 5, 2023 · Phoenix, Az
- S••••• W••••• A•••••••• I••• no RAUMJul 1, 2014 to Sep 6, 2018 · Phoenix, Az
- U••• F•••••••• P••••••• S••••••• formerMar 28, 2007 to Mar 10, 2010 · Phoenix, Az
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedDec 19, 2006 to Feb 10, 2007 · Glendale, Az
- V••• F•••••••• P•••••••• L•• formerMar 17, 2006 to Nov 7, 2006 · Windsor, Ct
- U••• F•••••••• P••••••• S••••••• to S••••• W••••• A•••••••• I•••left Mar 10, 2010, registered Jul 1, 2014 (1574 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to U••• F•••••••• P••••••• S•••••••left Feb 10, 2007, registered Mar 28, 2007 (46 days) · Other
- V••• F•••••••• P•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Nov 7, 2006, registered Dec 19, 2006 (42 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
- No RAUM reportedderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address