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•••• A• R•••••••••
- S•••••••• F•••••••• G••••• P•• state registered currentsince Apr 1, 2015 · Mesa, Az
- V•••• C•••••• P•••••••• L•• independent RIAJan 1, 2015 to Mar 9, 2015 · Gilbert, Az
- V•••• C•••••• P•••••••• L•• independent RIAOct 23, 2013 to Dec 31, 2014 · Gilbert, Az
- L•• F•••••••• L•• BD affiliatedJan 2, 2013 to Sep 12, 2013 · Gilbert, Az
- L•• F•••••••• L•• BD affiliatedJan 7, 2010 to Dec 31, 2012 · Fort Mill, Sc
- L•• F•••••••• L•• BD affiliatedMar 13, 2003 to Feb 6, 2007 · Beavercreek, Oh
- V•••• C•••••• P•••••••• L•• to S•••••••• F•••••••• G••••• P••left Mar 9, 2015, registered Apr 1, 2015 (23 days) · Other
- L•• F•••••••• L•• to V•••• C•••••• P•••••••• L••left Sep 12, 2013, registered Oct 23, 2013 (41 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address