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.
C••••••••• L•• B••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Apr 25, 2017 · Scottsdale, Az
- V••••••• W••••• M••••••••• L•• independent RIASep 9, 2015 to May 31, 2016 · Scottsdale, Az
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Jan 14, 2015 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDJun 29, 2007 to Dec 31, 2011 · Phoenix, Az
- V••••••• W••••• M••••••••• L•• to V••••••• A•••••••• I•••left May 31, 2016, registered Apr 25, 2017 (329 days) · Other
- S••••• W••••• A•••••••• I••• to V••••••• W••••• M••••••••• L••left Jan 14, 2015, registered Sep 9, 2015 (238 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address