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.
A••• S•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 22, 2024 · Phoenix, Az
- R•• C•••••• M••••••• L•• national BDOct 13, 2022 to May 29, 2024 · Phoenix, Az
- M••••• S•••••• wirehouseJul 8, 2022 to Sep 28, 2022 · Tempe, Az
- R•• C•••••• M••••••• L•• to C•••••• S••••• • C••• I•••left May 29, 2024, registered Nov 22, 2024 (177 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•• C•••••• M••••••• L••left Sep 28, 2022, registered Oct 13, 2022 (15 days) · Wirehouse to affiliated broker-dealer or bank
- A••• S••••••• left R•• C•••••• M••••••• L•• for C•••••• S••••• • C••• I••• (registered 2024-11-22)May 29, 2024 · Advisor changed firm · fact
- A••• S••••••• left M••••• S•••••• for R•• C•••••• M••••••• L•• (registered 2022-10-13)Sep 28, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address