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.
B•••• S•••• R•••••••
- J••••••• W••••• S••••••••• L•• independent RIA currentsince Sep 14, 2018 · S••••Sdale, Az
- H••••••• W••••• M••••••••• L•• formerJul 6, 2017 to Dec 14, 2018 · Phoenix, Az
- J••••••• W••••• S••••••••• L•• formerJun 1, 2017 to Nov 16, 2018 · S••••Sdale, Az
- J••••••• W••••• S••••••••• L•• formerDec 1, 2010 to Aug 17, 2017 · S••••Sdale, Az
- H••••••• W••••• M••••••••• L•• to J••••••• W••••• S••••••••• L••left Dec 14, 2018, registered Sep 14, 2018 (-91 days) · RIA to RIA · moved with a team
- J••••••• W••••• S••••••••• L•• to H••••••• W••••• M••••••••• L••left Nov 16, 2018, registered Jul 6, 2017 (-498 days) · Other · moved with a team
- J••••••• W••••• S••••••••• L•• to J••••••• W••••• S••••••••• L••left Aug 17, 2017, registered Jun 1, 2017 (-77 days) · channel change inside one enterprise, not a move · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address