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.
J•••• B•••• C••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 8, 2023 · Phoenix, Az
- S••••• W••••• A•••••••• I••• no RAUMFeb 25, 2013 to Nov 10, 2023 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDMar 11, 2008 to Mar 13, 2013 · Salt Lake City, Ut
- S••••• W••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 10, 2023, registered Nov 8, 2023 (-2 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Mar 13, 2013, registered Feb 25, 2013 (-16 days) · channel change inside one enterprise, not a move
- J•••• B•••• C•••••••• left S••••• W••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-11-08)Nov 10, 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
- 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