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.
T•••••• M•••••• S•••••••
- A••••••• W••••• A••••••• BD affiliated currentsince Dec 6, 2023 · Scottsdale, Az
- T•••• A•••••••• L•• formerAug 26, 2021 to Nov 10, 2023 · Scottsdale, Az
- C•••• S••••• A•••••••• I••••••••• unclassifiedMar 13, 2015 to Aug 19, 2021 · Cave Creek, Az
- T•••• A•••••••• L•• to A••••••• W••••• A•••••••left Nov 10, 2023, registered Dec 6, 2023 (26 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••• S••••• A•••••••• I••••••••• to T•••• A•••••••• L••left Aug 19, 2021, registered Aug 26, 2021 (7 days) · Other
- T•••••• M•••••• S••••••• left T•••• A•••••••• L•• for A••••••• W••••• A••••••• (registered 2023-12-06)Nov 10, 2023 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address