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.
- W•••• F•••• A••••••• wirehouse currentsince Sep 8, 2023 · Broomfield, Co
- U••• B•••••• I••••••••• I••• formerDec 4, 2018 to Sep 14, 2023 · Broomfield, Co
- P•• M•••••• A•••••• S••••••••• I••• formerFeb 29, 2016 to Dec 3, 2018 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 13, 2015 to Dec 16, 2015 · Phoenix, Az
- P•• M•••••• A•••••• S••••••••• I••• formerApr 1, 2013 to Jul 24, 2015 · Chandler, Az
- L•• F•••••••• L•• BD affiliatedOct 2, 2012 to Feb 21, 2013 · Scottsdale, Az
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Sep 14, 2023, registered Sep 8, 2023 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Dec 3, 2018, registered Dec 4, 2018 (1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Dec 16, 2015, registered Feb 29, 2016 (75 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 24, 2015, registered Aug 13, 2015 (20 days) · Other
- L•• F•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Feb 21, 2013, registered Apr 1, 2013 (39 days) · Other
- M•••••• A••••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2023-09-08)Sep 14, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address