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.
A•••••• K•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 17, 2017 · Chandler, Az
- U••• F•••••••• P••••••• S••••••• formerApr 2, 2013 to Sep 8, 2016 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMDec 18, 2007 to Apr 4, 2013 · Phoenix, Az
- I••••••••• A••••••• I••••••••• I••• unclassifiedJul 11, 2007 to Dec 5, 2007 · Mesa, Az
- U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 8, 2016, registered Feb 17, 2017 (162 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Apr 4, 2013, registered Apr 2, 2013 (-2 days) · corporate re-registration, not a move
- I••••••••• A••••••• I••••••••• I••• to U••• I••••••••• S••••••• C••••••left Dec 5, 2007, registered Dec 18, 2007 (13 days) · Other
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address