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••• L•••••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Nov 30, 2020 · Scottsdale, Az
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedJun 29, 2020 to Dec 1, 2020 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedOct 5, 2016 to Jul 15, 2019 · Scottsdale, Az
- A••••••••• F•••••••• S•••••••• L•• national BDNov 5, 2015 to Oct 7, 2016 · Glendale, Az
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 27, 2011 to Feb 11, 2013 · Tolleson, Az
- U••• B•••••• I••••••••• I••• formerJun 3, 2002 to Jan 13, 2010 · Waukesha, Wi
- B•••••• L••• A••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Dec 1, 2020, registered Nov 30, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to B•••••• L••• A••••••• S•••••••• I•••left Jul 15, 2019, registered Jun 29, 2020 (350 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 7, 2016, registered Oct 5, 2016 (-2 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to A••••••••• F•••••••• S•••••••• L••left Feb 11, 2013, registered Nov 5, 2015 (997 days) · Other
- U••• B•••••• I••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Jan 13, 2010, registered Oct 27, 2011 (652 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address