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.
D••••• S•••••• V•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 18, 2025 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedDec 6, 2024 to Feb 13, 2025 · Fort Mill, Sc
- P•••••••• S••••••••• I••• BD affiliatedMar 30, 2023 to Dec 12, 2024 · Phoenix, Az
- W•••• F•••• A••••••• wirehouseJun 24, 2022 to Nov 30, 2022 · Scottsdale, Az
- V••••••• A•••••••• I••• BD affiliatedJul 14, 2021 to May 9, 2022 · Scottsdale, Az
- E•••••••• A•••••••• L•• national BDJan 22, 2021 to Mar 31, 2021 · Scottsdale, Az
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 13, 2025, registered Sep 18, 2025 (217 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Dec 12, 2024, registered Dec 6, 2024 (-6 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•••••••• S••••••••• I•••left Nov 30, 2022, registered Mar 30, 2023 (120 days) · Wirehouse to affiliated broker-dealer or bank
- V••••••• A•••••••• I••• to W•••• F•••• A•••••••left May 9, 2022, registered Jun 24, 2022 (46 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to V••••••• A•••••••• I•••left Mar 31, 2021, registered Jul 14, 2021 (105 days) · Affiliated broker-dealer or bank to another
- D••••• S•••••• V••••••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-09-18)Feb 13, 2025 · Advisor changed firm · fact
- D••••• S•••••• V••••••••• left P•••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-12-06)Dec 12, 2024 · Advisor changed firm · fact
- D••••• S•••••• V••••••••• left W•••• F•••• A••••••• for P•••••••• S••••••••• I••• (registered 2023-03-30)Nov 30, 2022 · Advisor changed firm · fact
- D••••• S•••••• V••••••••• left V••••••• A•••••••• I••• for W•••• F•••• A••••••• (registered 2022-06-24)May 9, 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address