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•••• E• T•••••
- G•• W••••• M••••••••• L•• independent RIA currentsince Nov 25, 2024 · Mesa, Az
- K•••••• F•••••••• G••••• L•• independent RIAJul 12, 2023 to Sep 23, 2024 · Peoria, Az
- M••••• S•••••• wirehouseOct 18, 2021 to Jul 28, 2023 · Gilbert, Az
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 27, 2021 to Jul 28, 2021 · Mesa, Az
- K•••••• F•••••••• G••••• L•• to G•• W••••• M••••••••• L••left Sep 23, 2024, registered Nov 25, 2024 (63 days) · RIA to a newly registered adviser
- M••••• S•••••• to K•••••• F•••••••• G••••• L••left Jul 28, 2023, registered Jul 12, 2023 (-16 days) · Wirehouse to independent RIA
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• S••••••left Jul 28, 2021, registered Oct 18, 2021 (82 days) · Affiliated broker-dealer or bank to wirehouse
- J•••• E• T••••• left K•••••• F•••••••• G••••• L•• for G•• W••••• M••••••••• L•• (registered 2024-11-25)Sep 23, 2024 · Advisor changed firm · fact
- J•••• E• T••••• left M••••• S•••••• for K•••••• F•••••••• G••••• L•• (registered 2023-07-12)Jul 28, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address