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.
T••••• G• B•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 12, 2020 · Scottsdale, Az
- F•••• A••••• A••••••• S•••••••• I••• formerOct 23, 2014 to Nov 12, 2020 · Scottsdale, Az
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 1, 2009 to Oct 8, 2014 · Newport Beach, Ca
- S•••••••• F••••••••• I••• formerApr 17, 2006 to Jan 14, 2009 · Scottsdale, Az
- I••••••••• W••••• M••••••••• L•• formerMay 3, 2002 to Jul 2, 2004 · Scottsdale, Az
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to F•••• A••••• A••••••• S•••••••• I•••left Oct 8, 2014, registered Oct 23, 2014 (15 days) · Other
- S•••••••• F••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jan 14, 2009, registered Oct 1, 2009 (260 days) · Other
- I••••••••• W••••• M••••••••• L•• to S•••••••• F••••••••• I•••left Jul 2, 2004, registered Apr 17, 2006 (654 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address