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••• W••••••
- N••••••• T•••• S••••••••• I•• BD affiliated currentsince Jul 20, 2022 · Tempe, Az
- E••••• J•••• national BDOct 31, 2019 to Jun 22, 2022 · Tempe, Az
- E•••••• C•••••• M••••••••• L•• formerJan 22, 2016 to Nov 13, 2019 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDDec 1, 2015 to Jan 15, 2016 · Phoenix, Az
- E••••• J•••• to N••••••• T•••• S••••••••• I••left Jun 22, 2022, registered Jul 20, 2022 (28 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to E••••• J••••left Nov 13, 2019, registered Oct 31, 2019 (-13 days) · RIA to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••left Jan 15, 2016, registered Jan 22, 2016 (7 days) · Other
- K••• W•••••• left E••••• J•••• for N••••••• T•••• S••••••••• I•• (registered 2022-07-20)Jun 22, 2022 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address