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.
D••••• J• G•••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince May 9, 2017 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedSep 30, 2014 to May 17, 2017 · Phoenix, Az
- N•• E•••••• S••••••••• C••••••••• formerFeb 5, 2014 to Oct 7, 2014 · Phoenix, Az
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left May 17, 2017, registered May 9, 2017 (-8 days) · Other
- N•• E•••••• S••••••••• C••••••••• to L•• F•••••••• L••left Oct 7, 2014, registered Sep 30, 2014 (-7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address