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•••• D•••• W•••••••
- T••• F•••••••• independent RIA currentsince Dec 7, 2022 · Scottsdale, Az
- H••••••• W••••• M••••••••• L•• formerJul 6, 2017 to Nov 17, 2022 · Phoenix, Az
- H••••••• W••••• M••••••••• L•• formerJul 11, 2016 to Aug 18, 2017 · Phoenix, Az
- L•••• F•••••• G•••• L•• independent RIAOct 22, 2015 to Jan 2, 2019 · Scottsdale, Az
- T••• F•••••••• independent RIADec 19, 2005 to Jul 13, 2016 · Scottsdale, Az
- E•••••••• A•••••••• L•• national BDMar 11, 2005 to Apr 10, 2014 · Scottsdale, Az
- H••••••• W••••• M••••••••• L•• to T••• F••••••••left Nov 17, 2022, registered Dec 7, 2022 (20 days) · RIA to RIA
- L•••• F•••••• G•••• L•• to H••••••• W••••• M••••••••• L••left Jan 2, 2019, registered Jul 11, 2016 (-905 days) · Other
- H••••••• W••••• M••••••••• L•• to H••••••• W••••• M••••••••• L••left Aug 18, 2017, registered Jul 6, 2017 (-43 days) · channel change inside one enterprise, not a move · moved with a team
- T••• F•••••••• to L•••• F•••••• G•••• L••left Jul 13, 2016, registered Oct 22, 2015 (-265 days) · Other · moved with a team
- E•••••••• A•••••••• L•• to T••• F••••••••left Apr 10, 2014, registered Dec 19, 2005 (-3034 days) · Other
- Jared Duane Williams left Heritage Wealth Management, Llc for Trek Financial (registered 2022-12-07)Nov 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