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•••• J• N•••••
- M••••• S•••••• wirehouse currentsince Sep 17, 2026 · Tempe, Az
- C•••••• S••••• • C••• I••• national BDFeb 25, 2023 to Aug 25, 2026 · Phoenix, Az
- S••••• W••••• A•••••••• I••• no RAUMJul 14, 2021 to Feb 25, 2023 · Phoenix, Az
- P••• A••••• S••••••••• L•• BD affiliatedJun 4, 2019 to Jun 3, 2021 · Scottsdale, Az
- J••• H•••••• I••••••••• M••••••••• L•• asset managerNov 8, 2018 to May 28, 2019 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerAug 31, 2018 to Nov 8, 2018 · Tempe, Az
- C•••••• S••••• • C••• I••• to M••••• S••••••left Aug 25, 2026, registered Sep 17, 2026 (23 days) · Affiliated broker-dealer or bank to wirehouse
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Feb 25, 2023, registered Feb 25, 2023 (0 days) · channel change inside one enterprise, not a move
- P••• A••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••left Jun 3, 2021, registered Jul 14, 2021 (41 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to P••• A••••• S••••••••• L••left May 28, 2019, registered Jun 4, 2019 (7 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Nov 8, 2018, registered Nov 8, 2018 (0 days) · corporate re-registration, not a move
- D•••• J• N••••• registered as an investment adviser representative at M••••• S••••••Sep 17, 2026 · Advisor registered · fact
- D•••• J• N••••• left C•••••• S••••• • C••• I••• for M••••• S•••••• (registered 2026-09-17)Aug 25, 2026 · 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address