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.
B•••••• C• B•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 19, 2015 · Frisco, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 8, 2012 to Oct 29, 2015 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMMay 12, 2008 to Jun 11, 2012 · Phoenix, Az
- U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 29, 2015, registered Nov 19, 2015 (21 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Jun 11, 2012, registered Jun 8, 2012 (-3 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