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••• D•••• N•••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 3, 2018 · Scottsdale, Az
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Aug 6, 2018 · Chandler, Az
- M•• F•••••••• A•••••••• I••• formerJun 22, 2012 to Aug 1, 2012 · Chandler, Az
- B•• H••••• F•••••••• A•••••••• I•• to W•••• F•••• A•••••••left Aug 6, 2018, registered Aug 3, 2018 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- M•• F•••••••• A•••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Aug 1, 2012, registered Aug 1, 2012 (0 days) · channel change inside one enterprise, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address