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.
M•••••• B•••• L•••••
- P••••••• W••••• G••••• L•• independent RIA currentsince Apr 25, 2023 · Peoria, Az
- T••••••••• C••••••• L•• asset managerFeb 14, 2022 to Jun 14, 2023 · Lehi, Ut
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 14, 2014 to Feb 8, 2022 · Scottsdale, Az
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Aug 4, 2014 · Scottsdale, Az
- M•• I••••••••• M••••••••• C•••• formerMay 13, 2010 to Apr 19, 2012 · Milwaukee, Wi
- M•• F•••••••• A•••••••• I••• formerDec 22, 2009 to Aug 1, 2012 · Gilbert, Az
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 20, 2009 to Dec 21, 2009 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 21, 2007 to Mar 26, 2009 · Pismo Beach, Ca
- T••••••••• C••••••• L•• to P••••••• W••••• G••••• L••left Jun 14, 2023, registered Apr 25, 2023 (-50 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to T••••••••• C••••••• L••left Feb 8, 2022, registered Feb 14, 2022 (6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B•• H••••• F•••••••• A•••••••• I•• to M•• I•••••••• S•••••••• L••left Aug 4, 2014, registered Nov 14, 2014 (102 days) · Other
- M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••left Aug 1, 2012, registered May 13, 2010 (-811 days) · corporate re-registration, not a move
- M•• I••••••••• M••••••••• C•••• to B•• H••••• F•••••••• A•••••••• I••left Apr 19, 2012, registered Aug 1, 2012 (104 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to M•• F•••••••• A•••••••• I•••left Dec 21, 2009, registered Dec 22, 2009 (1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Mar 26, 2009, registered Jul 20, 2009 (116 days) · Other
- M•••••• B•••• L••••• left M•• I•••••••• S•••••••• L•• for T••••••••• C••••••• L•• (registered 2022-02-14)Feb 8, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address