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.
A••••••• D•••• S•••••••••
- R••• P•••••• W••••• A••••••• state registered currentsince Jul 14, 2020 · Tucson, Az
- P••••••• W••••• A•••••••• L•• state registeredDec 26, 2019 to Jun 16, 2020 · Tucson, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 29, 2018 to Oct 28, 2019 · Oro Valley, Az
- S••••• I••••••••• M••••••••• L•• independent RIANov 4, 2015 to Jan 4, 2018 · Tucson, Az
- P•• W••••• M••••••••• BD affiliatedFeb 18, 2015 to Jun 3, 2015 · Princeton, Nj
- P••••••• W••••• A•••••••• L•• to R••• P•••••• W••••• A•••••••left Jun 16, 2020, registered Jul 14, 2020 (28 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• W••••• A•••••••• L••left Oct 28, 2019, registered Dec 26, 2019 (59 days) · Wirehouse to a state-registered adviser
- S••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 4, 2018, registered Jan 29, 2018 (25 days) · Other
- P•• W••••• M••••••••• to S••••• I••••••••• M••••••••• L••left Jun 3, 2015, registered Nov 4, 2015 (154 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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address