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.
J••••••• L••• D••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Scottsdale, Az
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 10, 2016 to Apr 29, 2016 · Phoenix, Az
- W••••••• F•••••••• S•••••••• I••• formerSep 18, 2015 to Dec 6, 2019 · Phoenix, Az
- S•••••••• F••••••••• I••• formerSep 18, 2015 to Sep 1, 2023 · Scottsdale, Az
- O•••• W•••••• I••• BD affiliatedSep 17, 2015 to Dec 6, 2019 · Phoenix, Az
- F•• S••••••••• C••••••••• formerSep 17, 2015 to Dec 6, 2019 · Phoenix, Az
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAAug 30, 2011 to Sep 10, 2015 · Scottsdale, Az
- S•••••••• F••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Sep 1, 2023, registered Feb 10, 2016 (-2760 days) · Other
- O•••• W•••••• I••• to W••••••• F•••••••• S•••••••• I•••left Dec 6, 2019, registered Sep 18, 2015 (-1540 days) · channel change inside one enterprise, not a move
- W••••••• F•••••••• S•••••••• I••• to S•••••••• F••••••••• I•••left Dec 6, 2019, registered Sep 18, 2015 (-1540 days) · channel change inside one enterprise, not a move
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Dec 6, 2019, registered Sep 17, 2015 (-1541 days) · channel change inside one enterprise, not a move
- V•••• F•••••••• A•••••••• I••• to O•••• W•••••• I•••left Apr 29, 2016, registered Sep 1, 2023 (2681 days) · Other
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to F•• S••••••••• C•••••••••left Sep 10, 2015, registered Sep 17, 2015 (7 days) · Other
- J••••••• L••• D•••• left S•••••••• F••••••••• I••• for V•••• F•••••••• A•••••••• I••• (registered 2016-02-10)Sep 1, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address