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.
S•••• R••••• K••••••••
- C•••••• A•••• A••••••• L••• state registered currentsince Apr 20, 2018 · S••••Sdale, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 3, 2007 to Aug 31, 2018 · Phoenix, Az
- G••••• W••••• M••••••••• I••• BD affiliatedJul 28, 2005 to Mar 28, 2007 · Phoenix, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C•••••• A•••• A••••••• L•••left Aug 31, 2018, registered Apr 20, 2018 (-133 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- G••••• W••••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2007, registered Apr 3, 2007 (6 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address