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.
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B•••• E••••• D•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 29, 2025 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedMar 24, 2021 to Sep 5, 2025 · Cave Creek, Az
- B•• H••••• F•••••••• A•••••••• I•• formerNov 20, 2014 to Mar 24, 2021 · Phoenix, Az
- P•• W••••• M••••••••• BD affiliatedMar 4, 2011 to Sep 8, 2014 · Zion, Il
- C•••• I••••••••• S••••••• C•••• formerApr 23, 2010 to Aug 25, 2010 · Vernon Hills, Il
- E••••• J•••• national BDApr 15, 2008 to Mar 23, 2010 · Elkhorn, Wi
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 5, 2025, registered Aug 29, 2025 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to B•• H••••• F•••••••• A•••••••• I••left Sep 8, 2014, registered Nov 20, 2014 (73 days) · Other
- C•••• I••••••••• S••••••• C•••• to P•• W••••• M•••••••••left Aug 25, 2010, registered Mar 4, 2011 (191 days) · Other
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Mar 23, 2010, registered Apr 23, 2010 (31 days) · Other
- B•••• E••••• D••••••• left L•• F•••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2025-08-29)Sep 5, 2025 · 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address