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.
J••••••• V•••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Sep 25, 2025 · Phoenix, Az
- L•••••••• P••••••• S•••••••• L•• formerAug 9, 2017 to Jun 11, 2018 · Scottsdale, Az
- E•••••• F•••••••• E•••••• independent RIAJan 29, 2016 to May 15, 2017 · Phoenix, Az
- V••••••• A•••••••• I••• BD affiliatedFeb 17, 2015 to Jan 28, 2016 · Scottsdale, Az
- L•••••••• P••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jun 11, 2018, registered Sep 25, 2025 (2663 days) · Other · moved with a team
- E•••••• F•••••••• E•••••• to L•••••••• P••••••• S•••••••• L••left May 15, 2017, registered Aug 9, 2017 (86 days) · Other
- V••••••• A•••••••• I••• to E•••••• F•••••••• E••••••left Jan 28, 2016, registered Jan 29, 2016 (1 days) · Other · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address