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•••••• J••• M•••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Dec 20, 2019 · Temecula, Ca
- C•••••• S••••• • C••• I••• national BDJan 3, 2017 to Dec 2, 2019 · Phoenix, Az
- L•••••••• P••••••• S•••••••• L•• formerAug 10, 2015 to Dec 5, 2016 · Scottsdale, Az
- C•••••• S••••• • C••• I••• to T••••••• I••••••••• M••••••••• I•••left Dec 2, 2019, registered Dec 20, 2019 (18 days) · Affiliated broker-dealer or bank to another
- L•••••••• P••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Dec 5, 2016, registered Jan 3, 2017 (29 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address