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.
C•••••••• M•••• M•••••••
- C••••• P••••••• L•• independent RIA currentsince Feb 24, 2025 · Phoenix, Az
- M••••• S•••••• wirehouseNov 21, 2022 to Dec 17, 2024 · Tempe, Az
- V••••••• A•••••••• I••• BD affiliatedDec 2, 2019 to Nov 22, 2022 · Scottsdale, Az
- M••••• S•••••• to C••••• P••••••• L••left Dec 17, 2024, registered Feb 24, 2025 (69 days) · Wirehouse to independent RIA
- V••••••• A•••••••• I••• to M••••• S••••••left Nov 22, 2022, registered Nov 21, 2022 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• M•••• M••••••• left M••••• S•••••• for C••••• P••••••• L•• (registered 2025-02-24)Dec 17, 2024 · Advisor changed firm · fact
- C•••••••• M•••• M••••••• left V••••••• A•••••••• I••• for M••••• S•••••• (registered 2022-11-21)Nov 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address