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.
P••• D• H•••
- B•••••• F•••••••• S••••••• G•••• independent RIA currentsince Jul 24, 2019 · Phoenix, Az
- A•• F•••••••• A•••••••• L•• unclassifiedApr 24, 2019 to Jul 18, 2019 · Austin, Tx
- F•••••••• S•••• A•••••••• I••• independent RIAApr 28, 2015 to Mar 28, 2019 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 23, 2013 to May 12, 2015 · Anaheim Hills, Ca
- U••• F•••••••• P••••••• S••••••• formerAug 6, 2010 to Dec 17, 2013 · Phoenix, Az
- W•••• F•••• A••••••• wirehouseAug 6, 2007 to Jan 15, 2008 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 11, 2005 to May 15, 2007 · Ontario, Ca
- A•• F•••••••• A•••••••• L•• to B•••••• F•••••••• S••••••• G••••left Jul 18, 2019, registered Jul 24, 2019 (6 days) · Other
- F•••••••• S•••• A•••••••• I••• to A•• F•••••••• A•••••••• L••left Mar 28, 2019, registered Apr 24, 2019 (27 days) · Other
- J••• M••••• S••••••••• L•• to F•••••••• S•••• A•••••••• I•••left May 12, 2015, registered Apr 28, 2015 (-14 days) · Other
- U••• F•••••••• P••••••• S••••••• to J••• M••••• S••••••••• L••left Dec 17, 2013, registered Dec 23, 2013 (6 days) · Other
- W•••• F•••• A••••••• to U••• F•••••••• P••••••• S•••••••left Jan 15, 2008, registered Aug 6, 2010 (934 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left May 15, 2007, registered Aug 6, 2007 (83 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address