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.
T•••••• G•••
- L•• E••••••••• L•• BD affiliated currentsince Oct 27, 2025 · Phoenix, Az
- P•••••••• S••••••••• I••• BD affiliatedApr 17, 2024 to Oct 29, 2025 · Phoenix, Az
- P•••• S••••••••• L•• no RAUMDec 7, 2020 to Apr 11, 2024 · Phoenix, Az
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2019 to Dec 8, 2020 · Scottsdale, Az
- Q•••••• A•••• M••••••••• I••• formerOct 18, 2017 to Dec 31, 2018 · Scottsdale, Az
- C•••••••• F••••••••• I••• BD affiliatedMar 19, 2013 to Mar 6, 2017 · Anaheim, Ca
- P•••••••• S••••••••• I••• to L•• E••••••••• L••left Oct 29, 2025, registered Oct 27, 2025 (-2 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to P•••••••• S••••••••• I•••left Apr 11, 2024, registered Apr 17, 2024 (6 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to P•••• S••••••••• L••left Dec 8, 2020, registered Dec 7, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 31, 2018, registered Jan 23, 2019 (23 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• F••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Mar 6, 2017, registered Oct 18, 2017 (226 days) · Other
- T•••••• G••• left P•••••••• S••••••••• I••• for L•• E••••••••• L•• (registered 2025-10-27)Oct 29, 2025 · Advisor changed firm · fact
- T•••••• G••• left P•••• S••••••••• L•• for P•••••••• S••••••••• I••• (registered 2024-04-17)Apr 11, 2024 · 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address