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.
S•••••• T•••• W•••••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Feb 21, 2018 · Gilbert, Az
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Feb 21, 2018 · Gilbert, Az
- M•• F•••••••• S•••••••• I••• formerDec 14, 2016 to Mar 25, 2017 · Gilbert, Az
- E•••••••• A•••••••• L•• national BDMar 31, 2015 to Dec 16, 2016 · Gilbert, Az
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Feb 21, 2018, registered Feb 21, 2018 (0 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 16, 2016, registered Dec 14, 2016 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address