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.
C•••••••• A••• L••••
- U••• I••••••••• S••••••• C•••••• no RAUM currentsince Nov 6, 2020 · Phoenix, Az
- U••• F•••••••• P••••••• S••••••• formerJan 4, 2017 to Jan 8, 2018 · Phoenix, Az
- C••••••• S••••••••• formerMay 29, 2015 to Nov 28, 2016 · Phoenix, Az
- N••••••••• F••••••••• L•• unclassifiedJul 16, 2013 to May 19, 2015 · Surprise, Az
- C••••• A••••••• L•• formerAug 2, 2012 to Jul 5, 2013 · Surprise, Az
- E•••••••• A•••••••• L•• national BDSep 24, 2010 to Jul 13, 2012 · Scottsdale, Az
- W•••• F•••• I••••••••• L•• unclassifiedSep 12, 2005 to Sep 9, 2010 · Scottsdale, Az
- W•••• F•••• I••••••••• L•• unclassifiedAug 15, 2002 to Jul 29, 2005 · Sun City, Az
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Nov 6, 2020 (1033 days) · corporate re-registration, not a move
- C••••••• S••••••••• to U••• F•••••••• P••••••• S•••••••left Nov 28, 2016, registered Jan 4, 2017 (37 days) · Other
- N••••••••• F••••••••• L•• to C••••••• S•••••••••left May 19, 2015, registered May 29, 2015 (10 days) · Other
- C••••• A••••••• L•• to N••••••••• F••••••••• L••left Jul 5, 2013, registered Jul 16, 2013 (11 days) · Other
- E•••••••• A•••••••• L•• to C••••• A••••••• L••left Jul 13, 2012, registered Aug 2, 2012 (20 days) · Other
- W•••• F•••• I••••••••• L•• to E•••••••• A•••••••• L••left Sep 9, 2010, registered Sep 24, 2010 (15 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
- No RAUM reportedderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address