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.
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- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Mar 29, 2023 · Scottsdale, Az
- S•••••• F•••••••• G•••• O• A••••••• L•• formerJun 28, 2010 to Mar 27, 2023 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedJul 23, 2004 to Feb 24, 2006 · Scottdale, Az
- S•••••• F•••••••• G•••• O• A••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Mar 27, 2023, registered Mar 29, 2023 (2 days) · Other
- L•• F•••••••• L•• to S•••••• F•••••••• G•••• O• A••••••• L••left Feb 24, 2006, registered Jun 28, 2010 (1585 days) · Other
- J•••• R•••• T••••••• left S•••••• F•••••••• G•••• O• A••••••• L•• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2023-03-29)Mar 27, 2023 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address