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•••• R••• D••••
- M•••••• BD affiliated currentsince May 15, 2019 · Scottsdale, Az
- W••••••• F•••••••• S•••••••• I••• formerDec 21, 2012 to Apr 4, 2019 · Scottsdale, Az
- C••••• A••••••• L•• formerOct 9, 2008 to Dec 20, 2012 · Phoenix, Az
- W••••••• F•••••••• S•••••••• I••• to M••••••left Apr 4, 2019, registered May 15, 2019 (41 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Dec 20, 2012, registered Dec 21, 2012 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address