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.
C••• C••••• S•••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Sep 17, 2018 · Chandler, Az
- S•••••••• A••••••• L•• national BDMay 10, 2012 to Jul 12, 2018 · Chandler, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 25, 2011 to Apr 9, 2012 · Scottsdale, Az
- E••••• J•••• national BDOct 9, 2008 to Mar 29, 2011 · Tempe, Az
- S•••••••• A••••••• L•• to I•• W••••• M••••••••• L••left Jul 12, 2018, registered Sep 17, 2018 (67 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Apr 9, 2012, registered May 10, 2012 (31 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 29, 2011, registered Mar 25, 2011 (-4 days) · Affiliated broker-dealer or bank to wirehouse
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