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.
M••••• A•••••• M•••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince May 11, 2018 · Palm Beach Gardens, Fl
- N••• F•••••••• S••••••• independent RIAJan 21, 2014 to Mar 21, 2018 · Tucson, Az
- N•• E•••••• S••••••••• C••••••••• formerFeb 7, 2012 to Dec 17, 2013 · Tucson, Az
- W•••• F•••• A••••••• wirehouseOct 9, 2008 to Jan 6, 2012 · Glendale, Az
- C•••• I••••••••• S••••••• C•••• formerJan 9, 2007 to Sep 26, 2008 · Tucson, Az
- N••• F•••••••• S••••••• to M•••• C••••••• A••••••• S••••••left Mar 21, 2018, registered May 11, 2018 (51 days) · Other
- N•• E•••••• S••••••••• C••••••••• to N••• F•••••••• S•••••••left Dec 17, 2013, registered Jan 21, 2014 (35 days) · Other
- W•••• F•••• A••••••• to N•• E•••••• S••••••••• C•••••••••left Jan 6, 2012, registered Feb 7, 2012 (32 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Sep 26, 2008, registered Oct 9, 2008 (13 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address