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.
C•••••• E•••• B•••••
- F••••••• W••••• A•••••••• L•• independent RIA currentsince Oct 16, 2023 · Scottsdale, Az
- N•••••• E•••• L•• formerFeb 25, 2022 to Dec 9, 2022 · Scottsdale, Az
- C•••• S••••• A•••••••• I••••••••• unclassifiedJun 27, 2006 to Dec 31, 2023 · Scottsdale, Az
- C•••• S••••• A•••••••• I••••••••• to N•••••• E•••• L••left Dec 31, 2023, registered Feb 25, 2022 (-674 days) · Other
- N•••••• E•••• L•• to F••••••• W••••• A•••••••• L••left Dec 9, 2022, registered Oct 16, 2023 (311 days) · Other
- C•••••• E•••• B••••• left C•••• S••••• A•••••••• I••••••••• for N•••••• E•••• L•• (registered 2022-02-25)Dec 31, 2023 · Advisor changed firm · fact
- C•••••• E•••• B••••• left N•••••• E•••• L•• for F••••••• W••••• A•••••••• L•• (registered 2023-10-16)Dec 9, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address