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.
T•••••• M••••••• A•••
- B••••••• J•••• L•• independent RIA currentsince Sep 14, 2015 · Scottsdale, Az
- B••••••• J•••• L•• independent RIAJun 27, 2012 to Dec 31, 2016 · Scottsdale, Az
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Apr 4, 2012 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDJul 9, 2007 to Dec 31, 2011 · Phoenix, Az
- S••••• W••••• A•••••••• I••• to B••••••• J•••• L••left Apr 4, 2012, registered Jun 27, 2012 (84 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address