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•••• A•••••• H•••••
- D•••••• independent RIA currentsince Oct 4, 2023 · Chandler, Az
- U••••• C•••••• F•••••••• A••••••• independent RIAApr 14, 2017 to Oct 20, 2023 · Scottsdale, Az
- C•••• B••••• T•• • A••••••••• L•• unclassifiedNov 13, 2007 to May 12, 2008 · Phoenix, Az
- K•••• C••••••• A•• A••••••••• I••• unclassifiedJul 31, 2007 to May 12, 2008 · Phoenix, Az
- U••••• C•••••• F•••••••• A••••••• to D••••••left Oct 20, 2023, registered Oct 4, 2023 (-16 days) · Affiliated broker-dealer or bank to independent RIA
- K•••• C••••••• A•• A••••••••• I••• to C•••• B••••• T•• • A••••••••• L••left May 12, 2008, registered Nov 13, 2007 (-181 days) · Other
- C•••• B••••• T•• • A••••••••• L•• to U••••• C•••••• F•••••••• A•••••••left May 12, 2008, registered Apr 14, 2017 (3259 days) · Other
- D•••• A•••••• H••••• left U••••• C•••••• F•••••••• A••••••• for Dynamic (registered 2023-10-04)Oct 20, 2023 · 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