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•••• S•••••••••
- P••••• W••••• A••••••• L•• state registered currentsince Aug 10, 2018 · York, Ne
- B•••••• I••••••••• A••••••• formerJun 25, 2015 to Aug 8, 2018 · Scottsdale, Az
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 5, 2009 to Jul 22, 2015 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2008 to Feb 13, 2009 · Peoria, Az
- B•••••• I••••••••• A••••••• to P••••• W••••• A••••••• L••left Aug 8, 2018, registered Aug 10, 2018 (2 days) · RIA to a state-registered adviser
- T••••••••• F•••••••• A•••••••• L•• to B•••••• I••••••••• A•••••••left Jul 22, 2015, registered Jun 25, 2015 (-27 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••••• F•••••••• A•••••••• L••left Feb 13, 2009, registered Aug 5, 2009 (173 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address