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• W••••
- I••••••••• F•••••••• S••••••••• P••• state registered currentsince Jan 18, 2018 · Wauwatosa, Wi
- V••• F•••••••• A•••••••• I••• BD affiliatedDec 1, 2015 to May 5, 2017 · Phoenix, Az
- O•••• F•• I••• formerJul 17, 2015 to Nov 27, 2015 · Tempe, Az
- P•••••••• S••••••••• I••• BD affiliatedOct 12, 2010 to Aug 18, 2015 · Phoenix, Az
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 29, 2006 to Feb 6, 2008 · Phoenix, Az
- V••• F•••••••• A•••••••• I••• to I••••••••• F•••••••• S••••••••• P•••left May 5, 2017, registered Jan 18, 2018 (258 days) · Other
- O•••• F•• I••• to V••• F•••••••• A•••••••• I•••left Nov 27, 2015, registered Dec 1, 2015 (4 days) · Other
- P•••••••• S••••••••• I••• to O•••• F•• I•••left Aug 18, 2015, registered Jul 17, 2015 (-32 days) · Other
- M•• I•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••left Feb 6, 2008, registered Oct 12, 2010 (979 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address