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.
J••••• E••• B•••••
- B••••• W••••• M••••••••• I••• state registered currentsince May 13, 2014 · Surprise, Az
- O••••••••• • C•• I••• BD affiliatedMar 14, 2013 to Mar 14, 2014 · Scottsdale, Az
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 12, 2012 · Sun City West, Az
- C•••• I••••••••• S••••••• C•••• formerJul 30, 2010 to Oct 1, 2012 · Sun City West, Az
- B••••• F•••••••• S•••••••• I••• unclassifiedDec 19, 2005 to Dec 31, 2008 · Peoria, Az
- B••••• F•••••••• S•••••••• I••• unclassifiedDec 19, 2005 to Dec 31, 2009 · Peoria, Az
- B••••• F•••••••• S•••••••• I••• unclassifiedDec 19, 2005 to Dec 31, 2006 · Sun City West, Az
- O••••••••• • C•• I••• to B••••• W••••• M••••••••• I•••left Mar 14, 2014, registered May 13, 2014 (60 days) · Other
- J••• M••••• S••••••••• L•• to O••••••••• • C•• I•••left Dec 12, 2012, registered Mar 14, 2013 (92 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B••••• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Dec 31, 2009, registered Jul 30, 2010 (211 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