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.
A•••• L• S••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jun 12, 2026 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedMar 30, 2023 to Jun 26, 2026 · Scottsdale, Az
- S•••••• W••••• P•••••••• L•• BD affiliatedAug 16, 2018 to Mar 13, 2023 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDJul 20, 2017 to Aug 16, 2018 · Phoenix, Az
- P•••••••• S••••••••• I••• BD affiliatedApr 4, 2016 to Jul 12, 2017 · Wauwatosa, Wi
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Jun 26, 2026, registered Jun 12, 2026 (-14 days) · Affiliated broker-dealer or bank to another
- S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••left Mar 13, 2023, registered Mar 30, 2023 (17 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to S•••••• W••••• P•••••••• L••left Aug 16, 2018, registered Aug 16, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Jul 12, 2017, registered Jul 20, 2017 (8 days) · Other
- A•••• L• S•••••• left L•• F•••••••• L•• for P•••••••• S••••••••• I••• (registered 2026-06-12)Jun 26, 2026 · Advisor changed firm · fact
- A•••• L• S•••••• left S•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2023-03-30)Mar 13, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address