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.
N••••• P• C••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 5, 2022 · Tucson, Az
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 22, 2016 to May 13, 2022 · Tucson, Az
- B•• H••••• F•••••••• A•••••••• I•• formerFeb 27, 2013 to Jan 5, 2016 · Tucson, Az
- B••••••• I••••••••• S•••••••• I••• ••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 13, 2022, registered May 5, 2022 (-8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- B•• H••••• F•••••••• A•••••••• I•• to B••••••• I••••••••• S•••••••• I••• •••••left Jan 5, 2016, registered Feb 22, 2016 (48 days) · Other
- N••••• P• C•••• left B••••••• I••••••••• S•••••••• I••• ••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-05-05)May 13, 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address