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.
J••••• L•• F•••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Sep 18, 2023 · Phoenix, Az
- M••••• S•••••• wirehouseOct 17, 2019 to Sep 22, 2023 · Gilbert, Az
- W•••• F•••• A••••••• wirehouseJul 12, 2018 to Aug 23, 2019 · Appleton, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 2, 2011 to Jun 25, 2018 · Chandler, Az
- M••••• S•••••• to S••••• W••••• A•••••••• I•••left Sep 22, 2023, registered Sep 18, 2023 (-4 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Aug 23, 2019, registered Oct 17, 2019 (55 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 25, 2018, registered Jul 12, 2018 (17 days) · Wirehouse to wirehouse
- J••••• L•• F••• left M••••• S•••••• for S••••• W••••• A•••••••• I••• (registered 2023-09-18)Sep 22, 2023 · 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
- No RAUM reportedderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address