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•• K•••
- B••••• F•••••••• S••••••••• state registered currentsince Sep 7, 2018 · Scottsdale, Az
- D•••••• independent RIAJan 28, 2015 to Jan 2, 2019 · Scottsdale, Az
- W••••• M••••••••• S•••••••• independent RIAJan 3, 2012 to Mar 30, 2015 · Scottsdale, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 6, 2011 to Nov 18, 2011 · Phoenix, Az
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 9, 2009 to Sep 30, 2010 · Litchfield Park, Az
- I••••• W••••• M••••••••• L•• unclassifiedOct 31, 2002 to Jan 23, 2006 · Phoenix, Az
- D•••••• to B••••• F•••••••• S•••••••••left Jan 2, 2019, registered Sep 7, 2018 (-117 days) · RIA to a state-registered adviser · moved with a team
- W••••• M••••••••• S•••••••• to D••••••left Mar 30, 2015, registered Jan 28, 2015 (-61 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to W••••• M••••••••• S••••••••left Nov 18, 2011, registered Jan 3, 2012 (46 days) · Other
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 30, 2010, registered Jan 6, 2011 (98 days) · Other
- I••••• W••••• M••••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 23, 2006, registered Apr 9, 2009 (1172 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