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.
S•••• P• O••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 20, 2026 · Scottsdale, Az
- J••• M••••• S••••••••• L•• wirehouseSep 26, 2022 to Mar 13, 2026 · Tempe, Az
- S••••••• F•••••••• S•••••••• I••• formerApr 5, 2019 to Jun 10, 2022 · Phoenix, Az
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 13, 2026, registered Mar 20, 2026 (7 days) · Wirehouse to affiliated broker-dealer or bank
- S••••••• F•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Jun 10, 2022, registered Sep 26, 2022 (108 days) · RIA to wirehouse
- S•••• P• O•••••• left J••• M••••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-03-20)Mar 13, 2026 · Advisor changed firm · fact
- S•••• P• O•••••• left S••••••• F•••••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-09-26)Jun 10, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address