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.
K••• D•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 4, 2026 · Phoenix, Az
- W•••• F•••• A••••••• wirehouseOct 31, 2016 to Aug 5, 2026 · Scottsdale, Az
- S••••• O•••••• A• P••• O• B•• F•••••••• G•••• bank affiliatedMay 9, 2012 to Apr 1, 2016 · Scottsdale, Az
- O••••• I••••••••• P•••••••• L•• formerJun 14, 2010 to Dec 12, 2011 · Phoenix, Az
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 12, 2005 to Jul 24, 2007 · Tempe, Az
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Aug 5, 2026, registered Aug 4, 2026 (-1 days) · Wirehouse to wirehouse
- S••••• O•••••• A• P••• O• B•• F•••••••• G•••• to W•••• F•••• A•••••••left Apr 1, 2016, registered Oct 31, 2016 (213 days) · Other
- O••••• I••••••••• P•••••••• L•• to S••••• O•••••• A• P••• O• B•• F•••••••• G••••left Dec 12, 2011, registered May 9, 2012 (149 days) · Other
- C•••••••• G••••• M•••••• I••• to O••••• I••••••••• P•••••••• L••left Jul 24, 2007, registered Jun 14, 2010 (1056 days) · Other
- K••• D••••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2026-08-04)Aug 5, 2026 · 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address