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.
B•••• T••••••• P••
- T•• F••••• O••••• P••••••• independent RIA currentsince Mar 23, 2022 · Phoenix, Az
- V•••••• C•••••• M••••••••• I••• independent RIAJan 25, 2019 to Feb 17, 2022 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 21, 2016 · Phoenix, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 11, 2003 to Oct 23, 2009 · Bellevue, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDDec 4, 2002 to Aug 29, 2003 · Bellevue, Wa
- V•••••• C•••••• M••••••••• I••• to T•• F••••• O••••• P•••••••left Feb 17, 2022, registered Mar 23, 2022 (34 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••••• C•••••• M••••••••• I•••left Dec 21, 2016, registered Jan 25, 2019 (765 days) · Wirehouse to independent RIA
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 29, 2003, registered Dec 11, 2003 (104 days) · Other
- B•••• T••••••• P•• left V•••••• C•••••• M••••••••• I••• for T•• F••••• O••••• P••••••• (registered 2022-03-23)Feb 17, 2022 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address