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.
C••••••••• A• D•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Oct 13, 2021 · Phoenix, Az
- E•••••• C•••••• M••••••••• L•• formerDec 26, 2018 to Sep 16, 2021 · Scottsdale, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 21, 2009 to Apr 6, 2017 · Scottsdale, Az
- T• A••••••••• I••• formerDec 21, 2009 to Apr 6, 2017 · Scottsdale, Az
- C•••••• T•••• W••••• M••••••••• state registeredJul 20, 2009 to Nov 16, 2009 · Scottsdale, Az
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 4, 2008 to May 28, 2009 · Chicago, Il
- E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 16, 2021, registered Oct 13, 2021 (27 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 6, 2017, registered Dec 21, 2009 (-2663 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 6, 2017, registered Dec 21, 2009 (-2663 days) · channel change inside one enterprise, not a move
- C•••••• T•••• W••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 16, 2009, registered Dec 21, 2009 (35 days) · Other
- C•••••••• G••••• M•••••• I••• to C•••••• T•••• W••••• M•••••••••left May 28, 2009, registered Jul 20, 2009 (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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address