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••••• L•••• N••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Aug 8, 2017 · Gilbert, Az
- D••• I••••••••• L•• formerOct 15, 2015 to Aug 2, 2017 · South Jordan, Ut
- D•••••••• W••••• M••••••••• I••• unclassifiedMar 19, 2014 to Dec 15, 2015 · Tempe, Az
- M•••••• A••••• S••••••••• L•• BD affiliatedJan 23, 2012 to Jan 14, 2014 · Tempe, Az
- D••• I••••••••• L•• to C•••••••• F••••••••• I•••left Aug 2, 2017, registered Aug 8, 2017 (6 days) · Other · moved with a team
- D•••••••• W••••• M••••••••• I••• to D••• I••••••••• L••left Dec 15, 2015, registered Oct 15, 2015 (-61 days) · Other
- M•••••• A••••• S••••••••• L•• to D•••••••• W••••• M••••••••• I•••left Jan 14, 2014, registered Mar 19, 2014 (64 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address