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•••• A•••••• L•••• V•••••••
- A• W••••• M••••••••• L•• BD affiliated currentsince Jan 25, 2023 · Sun City, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 6, 2021 to Jan 18, 2023 · Chandler, Az
- H•••••• T••••••• • K•••• L•• independent RIAApr 6, 2020 to Oct 22, 2020 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A• W••••• M••••••••• L••left Jan 18, 2023, registered Jan 25, 2023 (7 days) · Wirehouse to affiliated broker-dealer or bank
- H•••••• T••••••• • K•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 22, 2020, registered Jan 6, 2021 (76 days) · Affiliated broker-dealer or bank to wirehouse
- D•••• A•••••• L•••• V••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A• W••••• M••••••••• L•• (registered 2023-01-25)Jan 18, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address