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•••• A••• S••••••
- T••• S•••••• A•••• M••••••••• P••• state registered currentsince May 6, 2013 · Phoenix, Az
- B••••• P••••• W••••• A•••••••• L•• formerJun 28, 2012 to Jun 27, 2013 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 27, 2012 · Gilbert, Az
- W•••• F•••• I••••••••• L•• unclassifiedFeb 27, 2009 to Jan 3, 2011 · Maricopa, Az
- B••••• P••••• W••••• A•••••••• L•• to T••• S•••••• A•••• M••••••••• P•••left Jun 27, 2013, registered May 6, 2013 (-52 days) · Other
- W•••• F•••• A••••••• to B••••• P••••• W••••• A•••••••• L••left Mar 27, 2012, registered Jun 28, 2012 (93 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address