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•••• L••• G•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Apr 22, 2021 · Scottsdale, Az
- F•• S••••••••• C••••••••• formerMay 19, 2020 to Apr 8, 2021 · Atlanta, Ga
- S•••••••• F••••••••• I••• formerMay 19, 2020 to Apr 8, 2021 · Scottsdale, Az
- O•••• W•••••• I••• BD affiliatedMay 19, 2020 to Apr 8, 2021 · Scottsdale, Az
- W••••••• F•••••••• S•••••••• I••• formerMay 19, 2020 to Apr 8, 2021 · Oakdale, Mn
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 4, 2016 to May 22, 2020 · Phoenix, Az
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAMar 1, 2010 to Dec 31, 2013 · Scottsdale, Az
- O•••• W•••••• I••• to S•••••••• F••••••••• I•••left Apr 8, 2021, registered May 19, 2020 (-324 days) · channel change inside one enterprise, not a move
- W••••••• F•••••••• S•••••••• I••• to F•• S••••••••• C•••••••••left Apr 8, 2021, registered May 19, 2020 (-324 days) · channel change inside one enterprise, not a move
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Apr 8, 2021, registered May 19, 2020 (-324 days) · channel change inside one enterprise, not a move
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Apr 8, 2021, registered May 19, 2020 (-324 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to S•••••••• F••••••••• I•••left May 22, 2020, registered May 19, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to M•• I•••••••• S•••••••• L••left Dec 31, 2013, registered Jan 4, 2016 (734 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address