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•••• J••••• T••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Dec 12, 2023 · Scottsdale, Az
- A•••• W••••• A•••••••• L•• BD affiliatedApr 20, 2023 to Dec 21, 2023 · Scottsdale, Az
- C••••• S••••• A•••••••• I••• formerApr 8, 2015 to Jun 27, 2023 · Scottsdale, Az
- B••••••••• C•••••• M••••••••• L•• independent RIAJan 31, 2014 to Apr 1, 2015 · Scottsdale, Az
- B••••••••• C•••••• M••••••••• L•• independent RIAMar 15, 2013 to Jan 30, 2014 · Wheaton, Il
- A•••• W••••• A•••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Dec 21, 2023, registered Dec 12, 2023 (-9 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• S••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Jun 27, 2023, registered Apr 20, 2023 (-68 days) · RIA to affiliated broker-dealer or bank
- B••••••••• C•••••• M••••••••• L•• to C••••• S••••• A•••••••• I•••left Apr 1, 2015, registered Apr 8, 2015 (7 days) · Other · moved with a team
- J•••• J••••• T•••• left A•••• W••••• A•••••••• L•• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2023-12-12)Dec 21, 2023 · Advisor changed firm · fact
- J•••• J••••• T•••• left C••••• S••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2023-04-20)Jun 27, 2023 · Advisor changed firm · fact
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