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.
K•••••• C•••••• L••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 8, 2019 · Chandler, Az
- C•••••• S••••• • C••• I••• national BDNov 9, 2018 to Nov 29, 2018 · Chandler, Az
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 12, 2018 · Scottsdale, Az
- M••••• S•••••• • C•• L•• unclassifiedJun 25, 2008 to Jun 1, 2009 · Scottsdale, Az
- B•• H••••• F•••••••• A•••••••• I•• formerJan 19, 2006 to Dec 13, 2007 · Phoenix, Az
- E•••••• C•••••• M••••••••• L•• formerOct 12, 2005 to Dec 31, 2005 · Phoenix, Az
- B••• O•• S••••••••• C••••••••• unclassifiedMar 23, 2004 to Apr 28, 2005 · Scottsdale, Az
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 8, 2002 to Jan 16, 2004 · Phoenix, Az
- C•••••• S••••• • C••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 29, 2018, registered Jan 8, 2019 (40 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Nov 12, 2018, registered Nov 9, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B•• H••••• F•••••••• A•••••••• I•• to M••••• S•••••• • C•• L••left Dec 13, 2007, registered Jun 25, 2008 (195 days) · Other
- E•••••• C•••••• M••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Dec 31, 2005, registered Jan 19, 2006 (19 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to E•••••• C•••••• M••••••••• L••left Apr 28, 2005, registered Oct 12, 2005 (167 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• O•• S••••••••• C•••••••••left Jan 16, 2004, registered Mar 23, 2004 (67 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address