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.
J••• P••• D••••
- N•• W••••• M••••••••• independent RIA currentsince Sep 13, 2017 · Oro Valley, Az
- U••••• C•••••• F•••••••• A••••••• independent RIAJan 4, 2017 to Jan 2, 2018 · Oro Valley, Az
- L•• F•••••••• L•• BD affiliatedSep 26, 2003 to Jan 27, 2017 · Oro Valley, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 19, 2002 to Nov 18, 2003 · Oro Valley, Az
- U••••• C•••••• F•••••••• A••••••• to N•• W••••• M•••••••••left Jan 2, 2018, registered Sep 13, 2017 (-111 days) · Other · moved with a team
- L•• F•••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Jan 27, 2017, registered Jan 4, 2017 (-23 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 18, 2003, registered Sep 26, 2003 (-53 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address