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.
R••••• E• P••••
- O•••• W•••••• I••• BD affiliated currentsince Feb 12, 2024 · Queen Creek, Az
- S•••••••• F••••••••• I••• formerOct 4, 2010 to Sep 1, 2023 · Scottsdale, Az
- O••••••••• • C•• I••• BD affiliatedApr 20, 2006 to Oct 12, 2010 · Scottsdale, Az
- U•• F•••••••• S••••••• I••• wirehouseFeb 2, 2004 to Apr 27, 2006 · Scottsdale, Az
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Feb 12, 2024 (164 days) · corporate re-registration, not a move
- O••••••••• • C•• I••• to S•••••••• F••••••••• I•••left Oct 12, 2010, registered Oct 4, 2010 (-8 days) · Other
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Apr 27, 2006, registered Apr 20, 2006 (-7 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