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.
P••••• N••••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 10, 2024 · Tempe, Az
- C•••••• S••••• • C••• I••• national BDMay 9, 2023 to Sep 9, 2024 · Phoenix, Az
- M••••• S•••••• wirehouseDec 13, 2018 to Apr 4, 2023 · Gilbert, Az
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Sep 9, 2024, registered Oct 10, 2024 (31 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Apr 4, 2023, registered May 9, 2023 (35 days) · Wirehouse to affiliated broker-dealer or bank
- P••••• N••••••• B•••• left C•••••• S••••• • C••• I••• for L•• F•••••••• L•• (registered 2024-10-10)Sep 9, 2024 · Advisor changed firm · fact
- P••••• N••••••• B•••• left M••••• S•••••• for C•••••• S••••• • C••• I••• (registered 2023-05-09)Apr 4, 2023 · 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