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.
J••••• R••••••• L••••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 11, 2024 · Reno, Nv
- M••••• S•••••• wirehouseSep 15, 2017 to Jan 17, 2024 · Peoria, Az
- W•••••• • R••• formerAug 5, 2016 to Sep 15, 2017 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 4, 2015 to Jun 28, 2016 · Scottsdale, Az
- M••••• S•••••• to W•••• F•••• A•••••••left Jan 17, 2024, registered Jan 11, 2024 (-6 days) · Wirehouse to wirehouse
- W•••••• • R••• to M••••• S••••••left Sep 15, 2017, registered Sep 15, 2017 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Jun 28, 2016, registered Aug 5, 2016 (38 days) · Other
- J••••• R••••••• L•••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2024-01-11)Jan 17, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address