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.
D•••• R•••••• K••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Tucson, Az
- F•••• F•••••••• E••••• C••••••••• formerMay 20, 2016 to Apr 20, 2022 · Scottsdale, Az
- N••• F•••••••• S••••••• independent RIAJan 24, 2014 to Jun 17, 2016 · Tucson, Az
- E•••••••• A•••••••• L•• national BDAug 13, 2001 to Jan 17, 2003 · Northbrook, Il
- F•••• F•••••••• E••••• C••••••••• to C••••• I••••••••• A••••••• L••left Apr 20, 2022, registered Jun 29, 2023 (435 days) · corporate re-registration, not a move
- N••• F•••••••• S••••••• to F•••• F•••••••• E••••• C•••••••••left Jun 17, 2016, registered May 20, 2016 (-28 days) · Other · moved with a team
- E•••••••• A•••••••• L•• to N••• F•••••••• S•••••••left Jan 17, 2003, registered Jan 24, 2014 (4025 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address