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.
C•••••••• E•••••••• E••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Jul 14, 2026 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseJul 11, 2022 to Jun 4, 2026 · Scottsdale, Az
- J••• M••••• S••••••••• L•• wirehouseDec 1, 2015 to Jun 16, 2022 · Palm Desert, Ca
- W•••• F•••• A••••••• to V••••••• A•••••••• I•••left Jun 4, 2026, registered Jul 14, 2026 (40 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 16, 2022, registered Jul 11, 2022 (25 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• E•••••••• E•••••• left W•••• F•••• A••••••• for V••••••• A•••••••• I••• (registered 2026-07-14)Jun 4, 2026 · Advisor changed firm · fact
- C•••••••• E•••••••• E•••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-07-11)Jun 16, 2022 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address