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.
E•••• R••••• K•••••
- N•• A••••••• S••••••• I•• independent RIA currentsince Aug 1, 2025 · Tempe, Az
- T•• A•••••••• G•••• BD affiliatedFeb 27, 2023 to Jul 2, 2025 · Scottsdale, Az
- E••••• J•••• national BDFeb 17, 2017 to Feb 9, 2023 · Phoenix, Az
- P•• M•••••• A•••••• S••••••••• I••• formerDec 13, 2016 to Feb 21, 2017 · Phoenix, Az
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAOct 24, 2012 to Jan 16, 2013 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2000 to May 14, 2008 · Fairfield, Ct
- T•• A•••••••• G•••• to N•• A••••••• S••••••• I••left Jul 2, 2025, registered Aug 1, 2025 (30 days) · corporate re-registration, not a move
- E••••• J•••• to T•• A•••••••• G••••left Feb 9, 2023, registered Feb 27, 2023 (18 days) · Affiliated broker-dealer or bank to independent RIA
- P•• M•••••• A•••••• S••••••••• I••• to E••••• J••••left Feb 21, 2017, registered Feb 17, 2017 (-4 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Jan 16, 2013, registered Dec 13, 2016 (1427 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• O• O•••• I••••••• S•••••••• I•••left May 14, 2008, registered Oct 24, 2012 (1624 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E•••• R••••• K••••• left E••••• J•••• for T•• A•••••••• G•••• (registered 2023-02-27)Feb 9, 2023 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address