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.
C•••••• A•••••••• S••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 17, 2014 · Gilbert, Az
- A•••••• A•••••••• L•• unclassifiedJun 3, 2008 to Oct 23, 2014 · Mesa, Az
- L•• F•••••••• L•• BD affiliatedOct 16, 2007 to Oct 30, 2014 · Gilbert, Az
- 1•• G••••• A••••••• I•• formerNov 4, 2004 to Oct 31, 2007 · Mesa, Az
- M••• S••••••••• C••••••••• unclassifiedDec 2, 2003 to Nov 5, 2004 · Mesa, Az
- T•••••• S••••••••• A••••••• C•••• unclassifiedJun 17, 2003 to Dec 2, 2003 · Mesa, Az
- L•• F•••••••• L•• to A•••••• A•••••••• L••left Oct 30, 2014, registered Jun 3, 2008 (-2340 days) · Other
- A•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 23, 2014, registered Oct 17, 2014 (-6 days) · Other
- 1•• G••••• A••••••• I•• to L•• F•••••••• L••left Oct 31, 2007, registered Oct 16, 2007 (-15 days) · Other
- M••• S••••••••• C••••••••• to 1•• G••••• A••••••• I••left Nov 5, 2004, registered Nov 4, 2004 (-1 days) · Other
- T•••••• S••••••••• A••••••• C•••• to M••• S••••••••• C•••••••••left Dec 2, 2003, registered Dec 2, 2003 (0 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address