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.
M•••••• M•••• C••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 1, 2022 · Scottsdale, Az
- M••••• S•••••• wirehouseSep 13, 2018 to Sep 8, 2022 · Scottsdale, Az
- P•••••• A•••••• G••••• L•• BD affiliatedJul 28, 2016 to May 17, 2018 · Phoenix, Az
- M••••• S•••••• wirehouseMay 10, 2011 to Mar 10, 2016 · Scottsdale, Az
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 8, 2022, registered Sep 1, 2022 (-7 days) · Wirehouse to wirehouse · moved with a team
- P•••••• A•••••• G••••• L•• to M••••• S••••••left May 17, 2018, registered Sep 13, 2018 (119 days) · RIA to wirehouse
- M••••• S•••••• to P•••••• A•••••• G••••• L••left Mar 10, 2016, registered Jul 28, 2016 (140 days) · Other
- M•••••• M•••• C•••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2022-09-01)Sep 8, 2022 · a•••••• firm change · 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address