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.
N••••••• A•••••• P•••••
- T•••• I••••••••• M••••••••• I••• independent RIA currentsince Apr 8, 2019 · Scottsdale, Az
- L•••••••• P••••••• S•••••••• L•• formerAug 9, 2017 to Jun 7, 2018 · Scottsdale, Az
- E•••••• F•••••••• E•••••• independent RIAJan 22, 2016 to Apr 26, 2017 · Phoenix, Az
- V••••••• A•••••••• I••• BD affiliatedAug 12, 2014 to Jan 28, 2016 · Scottsdale, Az
- L•••••••• P••••••• S•••••••• L•• to T•••• I••••••••• M••••••••• I•••left Jun 7, 2018, registered Apr 8, 2019 (305 days) · Other
- E•••••• F•••••••• E•••••• to L•••••••• P••••••• S•••••••• L••left Apr 26, 2017, registered Aug 9, 2017 (105 days) · Other
- V••••••• A•••••••• I••• to E•••••• F•••••••• E••••••left Jan 28, 2016, registered Jan 22, 2016 (-6 days) · Other · moved with a team
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address