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•••••• R••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Sun City, Az
- C•••• I••••••••• S••••••• C•••• formerAug 17, 2012 to Oct 1, 2012 · Phoenix, Az
- P•• M•••••• A•••••• S••••••••• I••• formerMay 17, 2011 to Aug 22, 2011 · Peoria, Az
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 1, 2011 · Phoenix, Az
- W•••• F•••• I••••••••• L•• unclassifiedAug 12, 2008 to Jan 3, 2011 · Phoenix, Az
- C•••• I••••••••• S••••••• C•••• formerFeb 5, 2007 to Jul 14, 2008 · Peoria, Az
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Aug 22, 2011, registered Aug 17, 2012 (361 days) · Other
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Mar 1, 2011, registered May 17, 2011 (77 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Jul 14, 2008, registered Aug 12, 2008 (29 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address