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.
L•••• L•••• S•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Phoenix, Az
- C•• S••••••••• L•• formerDec 5, 2019 to Oct 22, 2021 · Scottsdale, Az
- S••••••• F•••••••• S•••••••• I••• formerFeb 20, 2015 to Aug 10, 2023 · Scottsdale, Az
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Aug 10, 2023, registered Dec 5, 2019 (-1344 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 22, 2021, registered Aug 10, 2023 (657 days) · Affiliated broker-dealer or bank to another · moved with a team
- Lloyd Lucas Strode left Securian Financial Services, Inc. for Cri Securities, Llc (registered 2019-12-05)Aug 10, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address