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.
T••••• R•••••• B•••••
- S•••••• P•••••••• L•• independent RIA currentsince Mar 25, 2020 · Scottsdale, Az
- S••••••••• A•••••• A•••••••• I••• formerApr 13, 2018 to Mar 12, 2020 · Scottsdale, Az
- C•••••••• F•••••••• G•••• A••••••• formerNov 2, 2012 to Apr 23, 2018 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedSep 12, 2011 to May 11, 2012 · Scottsdale, Az
- U••• F•••••••• P••••••• S••••••• formerJan 21, 2009 to Aug 11, 2011 · Phoenix, Az
- S••••••••• A•••••• A•••••••• I••• to S•••••• P•••••••• L••left Mar 12, 2020, registered Mar 25, 2020 (13 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• F•••••••• G•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Apr 23, 2018, registered Apr 13, 2018 (-10 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left May 11, 2012, registered Nov 2, 2012 (175 days) · Other
- U••• F•••••••• P••••••• S••••••• to L•• F•••••••• L••left Aug 11, 2011, registered Sep 12, 2011 (32 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