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.
A••• P••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 29, 2020 · Scottsdale, Az
- U•••••• W••••• M••••••••• L•• formerJun 14, 2007 to Aug 10, 2020 · Scottsdale, Az
- G•••••••• F••••••••• I•• unclassifiedSep 20, 2006 to Jul 2, 2008 · Fountain Hills, Az
- U•••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Aug 10, 2020, registered Jun 29, 2020 (-42 days) · RIA to affiliated broker-dealer or bank · moved with a team
- G•••••••• F••••••••• I•• to U•••••• W••••• M••••••••• L••left Jul 2, 2008, registered Jun 14, 2007 (-384 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address