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.
- P•• A••••••• independent RIA currentsince Jan 11, 2023 · Mesa, Az
- E•••••••• A•••••••• L•• national BDJul 16, 2018 to Jan 18, 2023 · Mesa, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 20, 2012 to Jul 17, 2018 · Gilbert, Az
- E•••••••• A•••••••• L•• to P•• A•••••••left Jan 18, 2023, registered Jan 11, 2023 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Jul 17, 2018, registered Jul 16, 2018 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- K••• J••••• T••••• left E•••••••• A•••••••• L•• for P•• A••••••• (registered 2023-01-11)Jan 18, 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address