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.
Z•••••• P•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 17, 2023 · Tempe, Az
- U••• I••••••••• S••••••• C•••••• no RAUMMar 26, 2020 to Jul 30, 2020 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDSep 7, 2018 to Feb 25, 2020 · Scottsdale, Az
- U••• I••••••••• S••••••• C•••••• to J••• M••••• S••••••••• L••left Jul 30, 2020, registered Mar 17, 2023 (960 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to U••• I••••••••• S••••••• C••••••left Feb 25, 2020, registered Mar 26, 2020 (30 days) · Affiliated broker-dealer or bank to another
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address