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.
- C•••••• A••••••• BD affiliated currentsince Mar 12, 2020 · Phoenix, Az
- P•••• S••••••••• L•• no RAUMJun 4, 2019 to Mar 16, 2020 · Phoenix, Az
- P••••••••• F•••••••• S••••••• L•• formerJan 4, 2018 to Jan 4, 2019 · Phoenix, Az
- J••• M••••• S••••••••• L•• wirehouseAug 26, 2014 to Dec 13, 2017 · Peoria, Az
- M••••• S•••••• wirehouseSep 25, 2013 to May 22, 2014 · Scottsdale, Az
- P•••• S••••••••• L•• to C•••••• A•••••••left Mar 16, 2020, registered Mar 12, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- P••••••••• F•••••••• S••••••• L•• to P•••• S••••••••• L••left Jan 4, 2019, registered Jun 4, 2019 (151 days) · RIA to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to P••••••••• F•••••••• S••••••• L••left Dec 13, 2017, registered Jan 4, 2018 (22 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left May 22, 2014, registered Aug 26, 2014 (96 days) · Wirehouse to wirehouse
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address