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.
R••• M•••••• G•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Peoria, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 4, 2022 to Mar 31, 2025 · Peoria, Az
- P•• A••••••• independent RIANov 9, 2020 to May 25, 2022 · Goodyear, Az
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 4, 2020 · Lakeside, Ca
- C•••• I••••••••• S••••••• C•••• formerOct 12, 2011 to Oct 1, 2012 · Avondale, Az
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 25, 2022, registered Aug 4, 2022 (71 days) · RIA to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to P•• A•••••••left Nov 4, 2020, registered Nov 9, 2020 (5 days) · Wirehouse to independent RIA
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- R••• M•••••• G••••• left P•• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-08-04)May 25, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address