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.
- M••••• S•••••• wirehouse currentsince Jun 27, 2014 · Phoenix, Az
- W•••• F•••• A••••••• wirehouseOct 5, 2012 to Apr 29, 2014 · Gilbert, Az
- J••• M••••• S••••••••• L•• wirehouseOct 19, 2011 to Dec 2, 2011 · Tempe, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Oct 4, 2011 · Scottsdale, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 13, 2008 to Oct 23, 2009 · Mesa, Az
- W•••• F•••• A••••••• to M••••• S••••••left Apr 29, 2014, registered Jun 27, 2014 (59 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Dec 2, 2011, registered Oct 5, 2012 (308 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 4, 2011, registered Oct 19, 2011 (15 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address