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•••• S••• B••••••
- P••••••• P••• W••••• M••••••••• state registered currentsince Sep 25, 2019 · Scottsdale, Az
- D•••••• independent RIASep 13, 2016 to Dec 31, 2019 · Scottsdale, Az
- P••••• • M••• W••••• M••••••••• G•••• state registeredDec 19, 2014 to Sep 10, 2016 · Phoenix, Az
- T• A••••••••• I••• formerAug 28, 2012 to Dec 23, 2013 · Scottsdale, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 7, 2011 to Dec 23, 2013 · Scottsdale, Az
- A••••• A•• P••••••• S••••••• BD affiliatedOct 13, 2010 to Nov 12, 2010 · West Lafayette, In
- T• A••••••••• I••• formerApr 8, 2010 to Jul 1, 2010 · Scottsdale, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 8, 2010 to Jul 1, 2010 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDJun 20, 2008 to Feb 16, 2010 · Scottsdale, Az
- D•••••• to P••••••• P••• W••••• M•••••••••left Dec 31, 2019, registered Sep 25, 2019 (-97 days) · RIA to a state-registered adviser
- P••••• • M••• W••••• M••••••••• G•••• to D••••••left Sep 10, 2016, registered Sep 13, 2016 (3 days) · Other
- T• A••••••••• I••• to P••••• • M••• W••••• M••••••••• G••••left Dec 23, 2013, registered Dec 19, 2014 (361 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 23, 2013, registered Aug 28, 2012 (-482 days) · channel change inside one enterprise, not a move
- A••••• A•• P••••••• S••••••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 12, 2010, registered Oct 7, 2011 (329 days) · Other
- T• A••••••••• I••• to A••••• A•• P••••••• S•••••••left Jul 1, 2010, registered Oct 13, 2010 (104 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 1, 2010, registered Apr 8, 2010 (-84 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 16, 2010, registered Apr 8, 2010 (51 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address