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.
K•••• J•• A••••
- C•••• S•••• F•••••••• G•••• L•• independent RIA currentsince Dec 20, 2018 · Flagstaff, Az
- P•• A••••••• independent RIAApr 20, 2018 to Dec 10, 2018 · Flagstaff, Az
- C•• F•••••••• G••••• I••• formerSep 1, 2009 to Dec 10, 2018 · Scottsdale, Az
- G••••• W••••• M••••••••• I••• BD affiliatedFeb 16, 2005 to Jun 30, 2009 · Flagstaff, Az
- R•••••• F•••••••• N•••••• state registeredSep 5, 2003 to Jan 31, 2005 · Tempe, Az
- P•• A••••••• to C•••• S•••• F•••••••• G•••• L••left Dec 10, 2018, registered Dec 20, 2018 (10 days) · RIA to RIA
- C•• F•••••••• G••••• I••• to P•• A•••••••left Dec 10, 2018, registered Apr 20, 2018 (-234 days) · RIA to RIA
- G••••• W••••• M••••••••• I••• to C•• F•••••••• G••••• I•••left Jun 30, 2009, registered Sep 1, 2009 (63 days) · Other
- R•••••• F•••••••• N•••••• to G••••• W••••• M••••••••• I•••left Jan 31, 2005, registered Feb 16, 2005 (16 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