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•••• C••••••• S•••••••
- A•••• W••••• P•••••••• L•• state registered currentsince Jul 29, 2014 · Phoenix, Az
- V••• W••••• M••••••••• P••• independent RIADec 6, 2013 to Aug 25, 2014 · Flagstaff, Az
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Sep 2, 2008 · Surprise, Az
- A• G• E•••••• • S•••• I••• unclassifiedNov 24, 2006 to Jan 1, 2008 · Surprise, Az
- V••• W••••• M••••••••• P••• to A•••• W••••• P•••••••• L••left Aug 25, 2014, registered Jul 29, 2014 (-27 days) · RIA to a state-registered adviser
- W•••• F•••• A••••••• to V••• W••••• M••••••••• P•••left Sep 2, 2008, registered Dec 6, 2013 (1921 days) · Wirehouse to independent RIA
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address