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.
L•• S• M••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince May 9, 2024 · Mesa, Az
- T••••••• A•••••• N••••••• L•• BD affiliated currentsince Mar 27, 2023 · Mesa, Az
- E••••• J•••• national BDApr 12, 2019 to Jul 23, 2021 · Tempe, Az
- O••••••••• • C•• I••• BD affiliatedApr 7, 2016 to Apr 12, 2019 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 15, 2010 to Mar 29, 2016 · Chandler, Az
- E••••• J•••• to T••••••• A•••••• N••••••• L••left Jul 23, 2021, registered Mar 27, 2023 (612 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to E••••• J••••left Apr 12, 2019, registered Apr 12, 2019 (0 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Mar 29, 2016, registered Apr 7, 2016 (9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address