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.
- D•••••• independent RIA currentsince Aug 13, 2018 · Phoenix, Az
- B•• P•••••••• I••• BD affiliatedJan 30, 2017 to Sep 10, 2018 · Phoenix, Az
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedAug 26, 2015 to Sep 10, 2018 · Phoenix, Az
- B•• P•••••••• I••• to D••••••left Sep 10, 2018, registered Aug 13, 2018 (-28 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to B•• P•••••••• I•••left Sep 10, 2018, registered Jan 30, 2017 (-588 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address