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••• L•• BD affiliated currentsince May 18, 2023 · Scottsdale, Az
- S••••••••• A•••• M••••••••• L•• formerAug 17, 2020 to Mar 19, 2024 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedJul 12, 2016 to Aug 31, 2020 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedOct 3, 2014 to Dec 24, 2014 · Phoenix, Az
- S••••••••• A•••• M••••••••• L•• to C••• L••left Mar 19, 2024, registered May 18, 2023 (-306 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to S••••••••• A•••• M••••••••• L••left Aug 31, 2020, registered Aug 17, 2020 (-14 days) · Affiliated broker-dealer or bank to independent RIA
- Z•••••• P••••• G•••• left S••••••••• A•••• M••••••••• L•• for C••• L•• (registered 2023-05-18)Mar 19, 2024 · Advisor changed firm · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address