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.
- E••••• J•••• national BD currentsince Aug 11, 2025 · Tempe, Az
- P••• A••••• S••••••••• L•• BD affiliatedJun 26, 2024 to Jul 31, 2025 · Las Vegas, Nv
- C•••••• S••••• • C••• I••• national BDApr 24, 2013 to Feb 3, 2015 · Phoenix, Az
- P••• A••••• S••••••••• L•• to E••••• J••••left Jul 31, 2025, registered Aug 11, 2025 (11 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to P••• A••••• S••••••••• L••left Feb 3, 2015, registered Jun 26, 2024 (3431 days) · Affiliated broker-dealer or bank to another
- K••• R••• left P••• A••••• S••••••••• L•• for E••••• J•••• (registered 2025-08-11)Jul 31, 2025 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address