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••••••••• S•••••• P••••
- N•••••••• I••••••••• A••••••• L•• no RAUM currentsince May 24, 2022 · Peoria, Az
- V••••••• A•••••••• I••• BD affiliatedNov 13, 2018 to Apr 9, 2019 · Scottsdale, Az
- L•••••••• P••••••• S•••••••• L•• formerJan 21, 2015 to Jun 7, 2018 · Tempe, Az
- U••• F•••••••• P••••••• S••••••• formerMar 16, 2011 to Oct 17, 2013 · Phoenix, Az
- V••••••• A•••••••• I••• to N•••••••• I••••••••• A••••••• L••left Apr 9, 2019, registered May 24, 2022 (1141 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L•••••••• P••••••• S•••••••• L•• to V••••••• A•••••••• I•••left Jun 7, 2018, registered Nov 13, 2018 (159 days) · Other
- U••• F•••••••• P••••••• S••••••• to L•••••••• P••••••• S•••••••• L••left Oct 17, 2013, registered Jan 21, 2015 (461 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
- No RAUM reportedderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address