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••••• T••••• H•••••
- F••••••••• I••••••••• A••••••• L•• independent RIA currentsince Nov 22, 2024 · Phoenix, Az
- A• W••••• M••••••••• L•• BD affiliatedJan 18, 2019 to Nov 18, 2024 · Palm Springs, Ca
- S••••• W••••• P•••••••• L•• independent RIAJun 30, 2016 to Jan 18, 2019 · Palm Springs, Ca
- S••••• W••••• P•••••••• L•• formerNov 23, 2015 to Aug 19, 2016 · Palm Springs, Ca
- G••••• F•••••••• P•••••• C••••••• I••• formerFeb 11, 2014 to Jan 21, 2016 · Palm Springs, Ca
- I•••••••• A•••••••• L•• BD affiliatedJul 15, 2013 to Feb 13, 2014 · Palm Springs, Ca
- U•• F•••••••• S••••••••• L•• independent RIAJun 19, 2009 to Jul 10, 2013 · Palm Springs, Ca
- M••• S•••• • C••• L••• unclassifiedMar 21, 2007 to Feb 26, 2008 · Carmel, Ca
- A• W••••• M••••••••• L•• to F••••••••• I••••••••• A••••••• L••left Nov 18, 2024, registered Nov 22, 2024 (4 days) · RIA to RIA
- S••••• W••••• P•••••••• L•• to A• W••••• M••••••••• L••left Jan 18, 2019, registered Jan 18, 2019 (0 days) · RIA to RIA
- S••••• W••••• P•••••••• L•• to S••••• W••••• P•••••••• L••left Aug 19, 2016, registered Jun 30, 2016 (-50 days) · channel change inside one enterprise, not a move · moved with a team
- G••••• F•••••••• P•••••• C••••••• I••• to S••••• W••••• P•••••••• L••left Jan 21, 2016, registered Nov 23, 2015 (-59 days) · Other
- I•••••••• A•••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Feb 13, 2014, registered Feb 11, 2014 (-2 days) · Other
- U•• F•••••••• S••••••••• L•• to I•••••••• A•••••••• L••left Jul 10, 2013, registered Jul 15, 2013 (5 days) · Other
- M••• S•••• • C••• L••• to U•• F•••••••• S••••••••• L••left Feb 26, 2008, registered Jun 19, 2009 (479 days) · Other
- A••••• T••••• H••••• left A• W••••• M••••••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2024-11-22)Nov 18, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address