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.
A••• B•••• R••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 30, 2021 · Tucson, Az
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Aug 2, 2021 · Tucson, Az
- F•••• A••••• A••••••• S•••••••• I••• formerAug 1, 2013 to Nov 12, 2020 · San Diego, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2009 to Aug 15, 2013 · Tucson, Az
- B••••• • Y•••• A•••••••• I••• formerAug 21, 2007 to Feb 7, 2009 · Tucson, Az
- A••••••••• F•••••••• S•••••••• L•• national BDJul 27, 2000 to May 23, 2002 · Tucson, Az
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Aug 2, 2021, registered Jul 30, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Aug 15, 2013, registered Aug 1, 2013 (-14 days) · Other
- B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 7, 2009, registered Jan 23, 2009 (-15 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••••• • Y•••• A•••••••• I•••left May 23, 2002, registered Aug 21, 2007 (1916 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address