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•••• A• A•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 19, 2023 · Brookfield, Wi
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 10, 2021 to Jul 25, 2023 · Tempe, Az
- M••••• S•••••• wirehouseJul 28, 2018 to Oct 20, 2020 · Gilbert, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 3, 2012 to Jul 18, 2018 · Chandler, Az
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 25, 2023, registered Jul 19, 2023 (-6 days) · corporate re-registration, not a move
- M••••• S•••••• to B••••••• I••••••••• S•••••••• I••• •••••left Oct 20, 2020, registered Feb 10, 2021 (113 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 18, 2018, registered Jul 28, 2018 (10 days) · Wirehouse to wirehouse · moved with a team
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address