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•••• G• R•••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Nov 2, 2021 · Folsom, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Jan 4, 2021 · Scottsdale, Az
- R• C•••••• formerJul 9, 2015 to Nov 19, 2021 · Scottsdale, Az
- F•••• A••••• A••••••• S•••••••• I••• formerApr 22, 2015 to Nov 12, 2020 · Phoenix, Az
- R• A•••••• G•••• formerApr 17, 2015 to Oct 30, 2015 · Phoenix, Az
- R•••••• J•••• • A••••••••• I••• national BDMar 27, 2015 to Apr 27, 2015 · Scottsdale, Az
- F•••• A••••• A••••••• S•••••••• I••• formerJun 12, 2014 to Apr 20, 2015 · Scottsdale, Az
- R• A•••••• G•••• formerJul 1, 2011 to Mar 31, 2015 · Phoenix, Az
- R• C•••••• to C••••• I••••••••• A••••••• L••left Nov 19, 2021, registered Nov 12, 2020 (-372 days) · RIA to affiliated broker-dealer or bank
- C••••• I••••••••• A••••••• L•• to A••••••• F••••••••• L•••left Jan 4, 2021, registered Nov 2, 2021 (302 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• A••••• A••••••• S•••••••• I••• to R• C••••••left Nov 12, 2020, registered Jul 9, 2015 (-1953 days) · Affiliated broker-dealer or bank to independent RIA
- R• A•••••• G•••• to F•••• A••••• A••••••• S•••••••• I•••left Oct 30, 2015, registered Apr 22, 2015 (-191 days) · Other · moved with a team
- R•••••• J•••• • A••••••••• I••• to R• A•••••• G••••left Apr 27, 2015, registered Apr 17, 2015 (-10 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Apr 20, 2015, registered Mar 27, 2015 (-24 days) · Other
- R• A•••••• G•••• to F•••• A••••• A••••••• S•••••••• I•••left Mar 31, 2015, registered Jun 12, 2014 (-292 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address