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.
W•••••• A••••• W•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 21, 2014 · Phoeniz, Az
- R• A•••••• G•••• formerJul 19, 2006 to Aug 15, 2008 · Scottsdale, Az
- A••••••••• A•••••• S•••••••• I••• unclassifiedSep 15, 2003 to Jul 6, 2006 · Scottsdale, Az
- Q•••• • R•••••• I••• unclassifiedNov 29, 2002 to Apr 25, 2003 · Phoenix, Az
- R• A•••••• G•••• to C••••• I••••••••• A••••••• L••left Aug 15, 2008, registered Jan 21, 2014 (1985 days) · Other
- A••••••••• A•••••• S•••••••• I••• to R• A•••••• G••••left Jul 6, 2006, registered Jul 19, 2006 (13 days) · Other
- Q•••• • R•••••• I••• to A••••••••• A•••••• S•••••••• I•••left Apr 25, 2003, registered Sep 15, 2003 (143 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
- 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