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.
J•••• M•••••• G•••••
- P•••••• D••••• C•••••• M••••••••• L•• state registered currentsince May 20, 2014 · Phoenix, Az
- V••• W••••• M••••••••• P••• independent RIAAug 17, 2012 to Jul 22, 2014 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jul 31, 2012 · Scottsdale, Az
- P••••••••• E••••• G••••• L•• unclassifiedApr 17, 2002 to Jul 1, 2003 · Scottsdale, Az
- V••• W••••• M••••••••• P••• to P•••••• D••••• C•••••• M••••••••• L••left Jul 22, 2014, registered May 20, 2014 (-63 days) · RIA to a state-registered adviser
- W•••• F•••• A••••••• to V••• W••••• M••••••••• P•••left Jul 31, 2012, registered Aug 17, 2012 (17 days) · Wirehouse to independent RIA
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address