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.
B••••••• J••• F••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Tucson, Az
- P•• M•••••• A•••••• S••••••••• I••• formerAug 27, 2018 to Aug 6, 2021 · Phoenix, Az
- G•••••••• F•••••••• G•••• independent RIANov 7, 2013 to Aug 20, 2018 · Tucson, Az
- P•• M•••••• A•••••• S••••••••• I••• formerAug 17, 2011 to Oct 16, 2013 · Albuquerque, Nm
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedAug 10, 2006 to Jul 15, 2011 · Albuquerque, Nm
- W•••• F•••• A••••••• wirehouseDec 31, 2001 to Nov 8, 2005 · Raleigh, Nc
- P•• M•••••• A•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 6, 2021, registered Mar 21, 2024 (958 days) · Affiliated broker-dealer or bank to another
- G•••••••• F•••••••• G•••• to P•• M•••••• A•••••• S••••••••• I•••left Aug 20, 2018, registered Aug 27, 2018 (7 days) · RIA to affiliated broker-dealer or bank
- P•• M•••••• A•••••• S••••••••• I••• to G•••••••• F•••••••• G••••left Oct 16, 2013, registered Nov 7, 2013 (22 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to P•• M•••••• A•••••• S••••••••• I•••left Jul 15, 2011, registered Aug 17, 2011 (33 days) · Other
- W•••• F•••• A••••••• to B••• C•••••• I••••••••• S••••••••• I••left Nov 8, 2005, registered Aug 10, 2006 (275 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