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•••••• D•••• R•••••••
- K••• P••••• L•• independent RIA currentsince Mar 6, 2023 · Cave Creek, Az
- S••••••• M••••• L•• independent RIAAug 17, 2015 to Jan 27, 2023 · Scottsdale, Az
- W•• A•••••••• L• formerMay 11, 2011 to Jan 9, 2015 · Chandler, Az
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 3, 2003 to Dec 19, 2007 · Milwaukee, Wi
- S••••••• M••••• L•• to K••• P••••• L••left Jan 27, 2023, registered Mar 6, 2023 (38 days) · RIA to RIA
- W•• A•••••••• L• to S••••••• M••••• L••left Jan 9, 2015, registered Aug 17, 2015 (220 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to W•• A•••••••• L•left Dec 19, 2007, registered May 11, 2011 (1239 days) · Other
- C•••••• D•••• R••••••• left S••••••• M••••• L•• for K••• P••••• L•• (registered 2023-03-06)Jan 27, 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address