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.
R••• M•••••• B••••
- C•••••• S••••• • C••• I••• national BD currentsince Jun 9, 2023 · Sunnyvale, Ca
- W•••• F•••• A••••••• wirehouseJul 28, 2015 to Jul 15, 2021 · Scottsdale, Az
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 14, 2015 · Glendale, Az
- C•••• I••••••••• S••••••• C•••• formerSep 2, 2008 to Oct 1, 2012 · Phoenix, Az
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Jul 15, 2021, registered Jun 9, 2023 (694 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 14, 2015, registered Jul 28, 2015 (14 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address