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.
T••••• H•••••• H••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Oct 21, 2016 · Scottsdale, Az
- B•• H••••• F•••••••• A•••••••• I•• formerJun 4, 2015 to Jul 1, 2016 · Phoenix, Az
- E••••• J•••• national BDAug 31, 2012 to May 5, 2015 · Tempe, Az
- B•• H••••• F•••••••• A•••••••• I•• to M•• I•••••••• S•••••••• L••left Jul 1, 2016, registered Oct 21, 2016 (112 days) · Other
- E••••• J•••• to B•• H••••• F•••••••• A•••••••• I••left May 5, 2015, registered Jun 4, 2015 (30 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