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••• J• R••••••••
- T•••••• F••••••••• L•• independent RIA currentsince Nov 29, 2012 · Mesa, Az
- V•••• W••••• P••••••• unclassifiedMar 8, 2017 to Dec 31, 2017 · Scottsdale, Az
- A••••• W••••• M••••••••• L•• independent RIAMar 28, 2014 to Jul 27, 2021 · Las Vegas, Nv
- P•••••• A•••••••• L•• formerOct 23, 2013 to Feb 24, 2014 · Scottsdale, Az
- T•••••• A•••••••• L•• unclassifiedApr 15, 2009 to Dec 31, 2011 · Mesa, Az
- T•••••• F••••••••• L•• independent RIAOct 9, 2007 to Nov 17, 2009 · Mesa, Az
- V••••••• A•••••••• I••• BD affiliatedSep 23, 2002 to May 2, 2005 · Scottsdale, Az
- A••••• W••••• M••••••••• L•• to V•••• W••••• P•••••••left Jul 27, 2021, registered Mar 8, 2017 (-1602 days) · Other
- V•••• W••••• P••••••• to no registered destinationleft Dec 31, 2017 · Departure, no registered destination
- P•••••• A•••••••• L•• to A••••• W••••• M••••••••• L••left Feb 24, 2014, registered Mar 28, 2014 (32 days) · Other
- T•••••• A•••••••• L•• to T•••••• F••••••••• L••left Dec 31, 2011, registered Nov 29, 2012 (334 days) · Other
- T•••••• F••••••••• L•• to T•••••• A•••••••• L••left Nov 17, 2009, registered Apr 15, 2009 (-216 days) · Other
- V••••••• A•••••••• I••• to T•••••• F••••••••• L••left May 2, 2005, registered Oct 9, 2007 (890 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address