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.
B•••• H••••• J••••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Aug 6, 2021 · Cave Creek, Az
- I•••••••• A•••••••• L•• BD affiliatedMar 14, 2019 to Jul 13, 2021 · Carefree, Az
- P••••••••• B•••••••• S•••••••• I••• independent RIAMar 19, 2018 to Dec 31, 2018 · Carefree, Az
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 10, 2017 to Feb 8, 2018 · Carefree, Az
- B••••••••• C•••••• M••••••••• L•• independent RIADec 21, 2015 to Jan 4, 2017 · Carefree, Az
- C••••• S••••• A•••••••• I••• formerApr 24, 2015 to Nov 17, 2015 · Carefree, Az
- B••••••••• C•••••• M••••••••• L•• independent RIAOct 13, 2011 to Apr 15, 2015 · Wheaton, Il
- I•••••••• A•••••••• L•• to B••••••••• C•••••• M••••••••• L••left Jul 13, 2021, registered Aug 6, 2021 (24 days) · RIA to RIA
- P••••••••• B•••••••• S•••••••• I••• to I•••••••• A•••••••• L••left Dec 31, 2018, registered Mar 14, 2019 (73 days) · RIA to RIA
- M•• I•••••••• S•••••••• L•• to P••••••••• B•••••••• S•••••••• I•••left Feb 8, 2018, registered Mar 19, 2018 (39 days) · Other
- B••••••••• C•••••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 4, 2017, registered Mar 10, 2017 (65 days) · Other
- C••••• S••••• A•••••••• I••• to B••••••••• C•••••• M••••••••• L••left Nov 17, 2015, registered Dec 21, 2015 (34 days) · Other
- B••••••••• C•••••• M••••••••• L•• to C••••• S••••• A•••••••• I•••left Apr 15, 2015, registered Apr 24, 2015 (9 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