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.
N•••• H••••• A•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 1, 2019 · Scottsdale, Az
- P•• M•••••• A•••••• S••••••••• I••• formerSep 14, 2016 to Mar 29, 2019 · Scottsdale, Az
- A•• G••••• C•••••• unclassifiedFeb 4, 2015 to Apr 19, 2016 · Scottsdale, Az
- V••••••••• A••••••• S••••••• BD affiliatedMay 13, 2014 to Feb 23, 2015 · Woodbury, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 3, 2012 to Jul 25, 2013 · Scottsdale, Az
- C•••• I••••••••• S••••••• C•••• formerMar 4, 2009 to Apr 3, 2012 · Phoenix, Az
- C•••• I••••••••• S••••••• C•••• formerOct 31, 2006 to Apr 1, 2008 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDOct 12, 2005 to Oct 16, 2006 · Sunnyvale, Ca
- G••••• C•••• C••••••• L•• unclassifiedDec 18, 2004 to Sep 19, 2005 · San Francisco, Ca
- O••••••••• • C•• I••• BD affiliatedJul 12, 2004 to Dec 10, 2004 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 25, 2003 to Jul 16, 2004 · San Jose, Ca
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Mar 29, 2019, registered Apr 1, 2019 (3 days) · Affiliated broker-dealer or bank to wirehouse
- A•• G••••• C•••••• to P•• M•••••• A•••••• S••••••••• I•••left Apr 19, 2016, registered Sep 14, 2016 (148 days) · Other
- V••••••••• A••••••• S••••••• to A•• G••••• C••••••left Feb 23, 2015, registered Feb 4, 2015 (-19 days) · Other
- C••••• I••••••••• A••••••• L•• to V••••••••• A••••••• S•••••••left Jul 25, 2013, registered May 13, 2014 (292 days) · Other
- C•••• I••••••••• S••••••• C•••• to C••••• I••••••••• A••••••• L••left Apr 3, 2012, registered May 3, 2012 (30 days) · Other
- C•••••• S••••• • C••• I••• to C•••• I••••••••• S••••••• C••••left Oct 16, 2006, registered Oct 31, 2006 (15 days) · Other
- G••••• C•••• C••••••• L•• to C•••••• S••••• • C••• I•••left Sep 19, 2005, registered Oct 12, 2005 (23 days) · Other
- O••••••••• • C•• I••• to G••••• C•••• C••••••• L••left Dec 10, 2004, registered Dec 18, 2004 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Jul 16, 2004, registered Jul 12, 2004 (-4 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address