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.
M•••••• C•••••• B•••
- T••••• W••••• M••••••••• P••• independent RIA currentsince Jan 16, 2019 · Sun City, Az
- K•••••••• W••••• M••••••••• L•• independent RIAOct 31, 2016 to Feb 28, 2019 · Sun City, Az
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 8, 2011 to Oct 10, 2016 · Sun City, Az
- E••••• J•••• national BDOct 22, 2009 to Oct 17, 2011 · Glendale, Az
- K•••••••• W••••• M••••••••• L•• to T••••• W••••• M••••••••• P•••left Feb 28, 2019, registered Jan 16, 2019 (-43 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to K•••••••• W••••• M••••••••• L••left Oct 10, 2016, registered Oct 31, 2016 (21 days) · Other · moved with a team
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 17, 2011, registered Nov 8, 2011 (22 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address