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.
D•••• J•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 26, 2025 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Apr 17, 2025 · Scottsdale, Az
- I••••• F•••••••• C••••••••• formerJan 20, 2017 to Feb 14, 2018 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 19, 2017 · Phoenix, Az
- W•••• F•••• I••••••••• L•• unclassifiedJul 14, 2009 to Jan 3, 2011 · Phoenix, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 31, 2003 to Jul 2, 2009 · Phoenix, Az
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 17, 2025, registered Mar 26, 2025 (-22 days) · Affiliated broker-dealer or bank to another
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to I••••• F•••••••• C•••••••••left Jan 19, 2017, registered Jan 20, 2017 (1 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Jul 2, 2009, registered Jul 14, 2009 (12 days) · Other
- D•••• J••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-03-26)Apr 17, 2025 · Advisor changed firm · fact
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