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.
E••••• A•••• O•••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Aug 18, 2014 · Malvern, Pa
- U••• F•••••••• P••••••• S••••••• formerSep 13, 2007 to Jul 8, 2014 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMJan 25, 2007 to Sep 5, 2007 · Phoenix, Az
- U••• F•••••••• P••••••• S••••••• to V••••••• A•••••••• I•••left Jul 8, 2014, registered Aug 18, 2014 (41 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Sep 5, 2007, registered Sep 13, 2007 (8 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address