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.
M••• F•••••• Z••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Dec 9, 2020 · Scottsdale, Az
- K•••••• F•••••••• G••••• L•• independent RIAAug 26, 2019 to Apr 14, 2020 · Peoria, Az
- S••••• W••••• A•••••••• I••• no RAUMOct 4, 2018 to Jan 8, 2019 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDOct 18, 2017 to Oct 4, 2018 · Phoenix, Az
- K•••••• F•••••••• G••••• L•• to V••••••• A•••••••• I•••left Apr 14, 2020, registered Dec 9, 2020 (239 days) · RIA to affiliated broker-dealer or bank
- S••••• W••••• A•••••••• I••• to K•••••• F•••••••• G••••• L••left Jan 8, 2019, registered Aug 26, 2019 (230 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Oct 4, 2018, registered Oct 4, 2018 (0 days) · channel change inside one enterprise, not a move
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address