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.
L•••• K•• R•••••
- G••••••• C•••••• G•••• L•• state registered currentsince Apr 23, 2009 · Cornville, Az
- B••••• W••••• M••••••••• L•• formerJun 11, 2008 to May 19, 2009 · Sadona, Az
- D••• S•••••••• W••••• P••••••• formerJan 11, 2005 to May 5, 2008 · Phoenix, Az
- O•••• F•• I••• formerMay 17, 2004 to Dec 31, 2004 · Sedona, Az
- D••• S•••••••• W••••• P••••••• formerJun 30, 2003 to May 11, 2004 · Phoenix, Az
- B••••• W••••• M••••••••• L•• to G••••••• C•••••• G•••• L••left May 19, 2009, registered Apr 23, 2009 (-26 days) · Other
- D••• S•••••••• W••••• P••••••• to B••••• W••••• M••••••••• L••left May 5, 2008, registered Jun 11, 2008 (37 days) · Other
- O•••• F•• I••• to D••• S•••••••• W••••• P•••••••left Dec 31, 2004, registered Jan 11, 2005 (11 days) · Other
- D••• S•••••••• W••••• P••••••• to O•••• F•• I•••left May 11, 2004, registered May 17, 2004 (6 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address