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.
S•••••• M••• H•••••••
- S••••• I••••••••• A•••••••• L•• independent RIA currentsince Mar 4, 2021 · Gilbert, Az
- A••••• A•• P••••••• S••••••• BD affiliatedJul 9, 2014 to Nov 13, 2020 · Phoenix, Az
- E•••••• C•••••• M••••••••• L•• formerApr 6, 2011 to Jun 11, 2014 · Arlington, Va
- A••••• A•• P••••••• S••••••• to S••••• I••••••••• A•••••••• L••left Nov 13, 2020, registered Mar 4, 2021 (111 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••• C•••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left Jun 11, 2014, registered Jul 9, 2014 (28 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address