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•••• J••• B•••••
- T•• A•••••••• G•••• BD affiliated currentsince Dec 18, 2019 · Tempe, Az
- O•••• W•••••• I••• BD affiliatedFeb 7, 2024 to Jul 9, 2025 · Tempe, Az
- S•••••••• F••••••••• I••• formerOct 12, 2010 to May 19, 2020 · Phoenix, Az
- R• A•••••• G•••• formerMar 16, 2006 to Nov 29, 2010 · Scottsdale, Az
- O•••• W•••••• I••• to no registered destinationleft Jul 9, 2025 · Departure, no registered destination
- S•••••••• F••••••••• I••• to T•• A•••••••• G••••left May 19, 2020, registered Dec 18, 2019 (-153 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- R• A•••••• G•••• to S•••••••• F••••••••• I•••left Nov 29, 2010, registered Oct 12, 2010 (-48 days) · Other
- C•••• J••• B••••• no longer registered at O•••• W•••••• I•••; no later IA registration on IAPDJul 9, 2025 · a•••••• departure · 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
- 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