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•••••• M•••••• J••••
- F•••••••• A•••••••• L•• independent RIA currentsince Oct 19, 2018 · Cave Creek, Az
- H••••••• W••••• M••••••••• L•• formerJul 24, 2017 to Oct 17, 2018 · Phoenix, Az
- H••••••• W••••• M••••••••• L•• formerNov 20, 2013 to Aug 18, 2017 · Phoenix, Az
- T•• W••••• A•••••••• I••• state registeredAug 29, 2012 to Dec 3, 2013 · Beaverton, Or
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 23, 2012 · Cave Creek, Az
- W•••• F•••• I••••••••• L•• unclassifiedSep 15, 2008 to Jan 3, 2011 · Scottsdale, Az
- H••••••• W••••• M••••••••• L•• to F•••••••• A•••••••• L••left Oct 17, 2018, registered Oct 19, 2018 (2 days) · RIA to RIA
- H••••••• W••••• M••••••••• L•• to H••••••• W••••• M••••••••• L••left Aug 18, 2017, registered Jul 24, 2017 (-25 days) · channel change inside one enterprise, not a move · moved with a team
- T•• W••••• A•••••••• I••• to H••••••• W••••• M••••••••• L••left Dec 3, 2013, registered Nov 20, 2013 (-13 days) · Other
- W•••• F•••• A••••••• to T•• W••••• A•••••••• I•••left Mar 23, 2012, registered Aug 29, 2012 (159 days) · Wirehouse to a state-registered adviser
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address