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•••• G•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Scottsdale, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 3, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- L•• F•••••••• L•• BD affiliatedFeb 11, 2020 to Nov 30, 2020 · Tempe, Az
- A••••••••• F•••••••• S•••••••• L•• national BDJul 11, 2019 to Oct 11, 2019 · Peoria, Az
- L•• F•••••••• L•• BD affiliatedOct 17, 2014 to Jul 6, 2017 · Scottsdale, Az
- H••••••••• G•••• E••••• • R••••••••• S••••••••• formerMay 19, 2014 to Aug 27, 2014 · Scottsdale, Az
- E••••• J•••• national BDJun 10, 2013 to Jul 29, 2013 · St Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 30, 2020, registered Feb 3, 2021 (65 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 11, 2019, registered Feb 11, 2020 (123 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 6, 2017, registered Jul 11, 2019 (735 days) · Other
- H••••••••• G•••• E••••• • R••••••••• S••••••••• to L•• F•••••••• L••left Aug 27, 2014, registered Oct 17, 2014 (51 days) · Other
- E••••• J•••• to H••••••••• G•••• E••••• • R••••••••• S•••••••••left Jul 29, 2013, registered May 19, 2014 (294 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address