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.
R•••••• E• M••••••••
- R•• I••••••••• M••••••••• L•• state registered currentsince Mar 29, 2019 · Tucson, Az
- I••• W•••••••• I••••••••• M••••••••• L•• formerMar 16, 2017 to Jun 8, 2018 · Tucson, Az
- R•• I••••••••• M••••••••• L•• state registeredJan 1, 2009 to Dec 31, 2011 · Tucson, Az
- R•• I••••••••• M••••••••• L•• state registeredJan 1, 2009 to Dec 31, 2016 · Tucson, Az
- R•• I••••••••• M••••••••• L•• state registeredJan 1, 2009 to Dec 31, 2018 · Tucson, Az
- S•••••• C•••••• M••••••••• L•• unclassifiedNov 16, 2006 to Dec 31, 2008 · Tucson, Az
- S•••••• I••••••••• M••••••••• L•• unclassifiedOct 25, 2004 to Dec 31, 2007 · Tucson, Az
- S•••••• I••••••••• M••••••••• L•• unclassifiedOct 25, 2004 to Dec 31, 2006 · Tucson, Az
- Q•• F•••••••• L•• unclassifiedMar 28, 2003 to Dec 8, 2004 · Tucson, Az
- R•• C•••••• M••••••• L•• national BDAug 13, 2002 to Mar 28, 2003 · Tucson, Az
- R•• I••••••••• M••••••••• L•• to I••• W•••••••• I••••••••• M••••••••• L••left Dec 31, 2018, registered Mar 16, 2017 (-655 days) · Other
- I••• W•••••••• I••••••••• M••••••••• L•• to R•• I••••••••• M••••••••• L••left Jun 8, 2018, registered Mar 29, 2019 (294 days) · RIA to a state-registered adviser
- S•••••• C•••••• M••••••••• L•• to R•• I••••••••• M••••••••• L••left Dec 31, 2008, registered Jan 1, 2009 (1 days) · Other
- S•••••• I••••••••• M••••••••• L•• to S•••••• C•••••• M••••••••• L••left Dec 31, 2007, registered Nov 16, 2006 (-410 days) · Other
- Q•• F•••••••• L•• to S•••••• I••••••••• M••••••••• L••left Dec 8, 2004, registered Oct 25, 2004 (-44 days) · Other
- R•• C•••••• M••••••• L•• to Q•• F•••••••• L••left Mar 28, 2003, registered Mar 28, 2003 (0 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address