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.
W•••••• C••• M•••••
- U•••••••• W••••• M••••••••• L•• state registered currentsince Nov 26, 2024 · Surprise, Az
- T••••• W••••• M••••••••• P••• independent RIA currentsince Nov 28, 2018 · Sun City, Az
- K•••••••• W••••• M••••••••• L•• independent RIAJan 23, 2018 to Jan 31, 2019 · Sun City, Az
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 19, 2013 to Oct 10, 2016 · Sun City, Az
- K•••••••• W••••• M••••••••• L•• to T••••• W••••• M••••••••• P•••left Jan 31, 2019, registered Nov 28, 2018 (-64 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to K•••••••• W••••• M••••••••• L••left Oct 10, 2016, registered Jan 23, 2018 (470 days) · Other · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address