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•••• H••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Oct 31, 2025 · Scottsdale, Az
- I••••••••• F•••••••• G••••• L•• BD affiliatedDec 11, 2019 to Oct 31, 2025 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Dec 16, 2019 · Phoenix, Az
- M•• F•••••••• S•••••••• I••• formerAug 29, 2011 to Mar 25, 2017 · Tempe, Az
- P••• A••••••• I••••••••• A•••••••• I••• i••••••••• wealthSep 17, 2010 to Jul 6, 2011 · Glendale, Az
- S•• I••••••••• I••• formerMar 10, 2009 to Aug 20, 2009 · Tempe, Az
- I••••••••• F•••••••• G••••• L•• to C••••• I••••••••• A••••••• L••left Oct 31, 2025, registered Oct 31, 2025 (0 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to I••••••••• F•••••••• G••••• L••left Dec 16, 2019, registered Dec 11, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- P••• A••••••• I••••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 6, 2011, registered Aug 29, 2011 (54 days) · Other
- S•• I••••••••• I••• to P••• A••••••• I••••••••• A•••••••• I•••left Aug 20, 2009, registered Sep 17, 2010 (393 days) · Other
- D•••• H•••••• left I••••••••• F•••••••• G••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-10-31)Oct 31, 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
- 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