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.
J••••• D••••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 1, 2025 · Scottsdale, Az
- F•••••• A••••• L•• independent RIAMay 21, 2024 to Apr 1, 2025 · Phoenix, Az
- U•• F•••••••• S••••••• I••• wirehouseApr 3, 2018 to Apr 16, 2024 · Phoenix, Az
- F•••••• A••••• L•• to W•••• F•••• A•••••••left Apr 1, 2025, registered Apr 1, 2025 (0 days) · RIA to wirehouse
- U•• F•••••••• S••••••• I••• to F•••••• A••••• L••left Apr 16, 2024, registered May 21, 2024 (35 days) · Wirehouse to independent RIA · moved with a team
- J••••• D•••••••• left F•••••• A••••• L•• for W•••• F•••• A••••••• (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- J••••• D•••••••• left U•• F•••••••• S••••••• I••• for F•••••• A••••• L•• (registered 2024-05-21)Apr 16, 2024 · 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address