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•• L•••• S••••••
- S••••••• M••••• L•• independent RIA currentsince Jul 16, 2019 · Scottsdale, Az
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 7, 2018 to Jul 2, 2019 · Scottsdale, Az
- L•••••••• P••••••• S•••••••• L•• formerJan 21, 2015 to Jun 11, 2018 · Scottsdale, Az
- N••••••••• M••••• I••••••••• S••••••••• to S••••••• M••••• L••left Jul 2, 2019, registered Jul 16, 2019 (14 days) · Other
- L•••••••• P••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jun 11, 2018, registered Sep 7, 2018 (88 days) · channel change inside one enterprise, not a move · moved with a team
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address