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.
K•••• A••••• M•••••••••
- T•• W••••• A•••••••• I••• independent RIA currentsince Nov 14, 2022 · Tucson, Az
- S••••••• W••••• • R••••••••• L•• formerNov 5, 2019 to Jul 19, 2021 · Tucson, Az
- S••••••• W••••• • R••••••••• unclassifiedDec 21, 2018 to Mar 26, 2020 · Tucson, Az
- H••••••• W••••• M••••••••• L•• formerFeb 8, 2018 to Nov 15, 2018 · Gainesville, Fl
- S••••••• W••••• • R••••••••• L•• to T•• W••••• A•••••••• I•••left Jul 19, 2021, registered Nov 14, 2022 (483 days) · RIA to RIA
- S••••••• W••••• • R••••••••• to S••••••• W••••• • R••••••••• L••left Mar 26, 2020, registered Nov 5, 2019 (-142 days) · Other · moved with a team
- H••••••• W••••• M••••••••• L•• to S••••••• W••••• • R•••••••••left Nov 15, 2018, registered Dec 21, 2018 (36 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address