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.
E••• A• D••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 27, 2026 · Scottsdale, Az
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 9, 2018 to Apr 16, 2026 · Wayzata, Mn
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Mar 19, 2018 · Scottsdale, Az
- M•• I••••••••• M••••••••• C•••• formerMay 13, 2010 to Apr 18, 2012 · Milwaukee, Wi
- M•• F•••••••• A•••••••• I••• formerOct 16, 2009 to Aug 1, 2012 · Peoria, Az
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 22, 2009 · Scottsdale, Az
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 26, 2009 to Jun 1, 2009 · Scottsdale, Az
- E••••• J•••• national BDNov 13, 2006 to Jan 12, 2009 · Scottsdale, Az
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 16, 2026, registered Mar 27, 2026 (-20 days) · Affiliated broker-dealer or bank to another
- B•• H••••• F•••••••• A•••••••• I•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 19, 2018, registered Apr 9, 2018 (21 days) · Other
- M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••left Aug 1, 2012, registered May 13, 2010 (-811 days) · corporate re-registration, not a move
- M•• I••••••••• M••••••••• C•••• to B•• H••••• F•••••••• A•••••••• I••left Apr 18, 2012, registered Aug 1, 2012 (105 days) · corporate re-registration, not a move
- M••••• S•••••• to M•• F•••••••• A•••••••• I•••left Oct 22, 2009, registered Oct 16, 2009 (-6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C•••••••• G••••• M•••••• I•••left Jan 12, 2009, registered Jan 26, 2009 (14 days) · Other
- E••• A• D•••••• left S•••••• N••••••• • C••••••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-03-27)Apr 16, 2026 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address