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.
B••••••• W•••••• B•••••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince May 6, 2021 · Austin, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDApr 1, 2016 to May 10, 2021 · Phoenix, Az
- F•••• A••••• A••••••• S•••••••• I••• formerJan 31, 2014 to Apr 6, 2016 · Glendale, Az
- C••••• A••••••• L•• formerSep 11, 2007 to Feb 11, 2014 · Glendale, Az
- A••••••••• F•••••••• S•••••••• L•• to K••••• P•••••• W••••• S•••••••• L••left May 10, 2021, registered May 6, 2021 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••• A••••• A••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 6, 2016, registered Apr 1, 2016 (-5 days) · Other
- C••••• A••••••• L•• to F•••• A••••• A••••••• S•••••••• I•••left Feb 11, 2014, registered Jan 31, 2014 (-11 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