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••••••••• A••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 10, 2017 · Chandler, Az
- F•••• F•••••••• E••••• C••••••••• formerApr 1, 2016 to Dec 1, 2016 · Glendale, Az
- M••••• S•••••• wirehouseMay 5, 2014 to Mar 11, 2016 · Peoria, Az
- F•••• F•••••••• E••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 1, 2016, registered Jul 10, 2017 (221 days) · Other
- M••••• S•••••• to F•••• F•••••••• E••••• C•••••••••left Mar 11, 2016, registered Apr 1, 2016 (21 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address