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.
S••••••• M•••••
- S•••••••• A••••••• L•• national BD currentsince Aug 6, 2026 · Peoria, Az
- J••• M••••• S••••••••• L•• wirehouseApr 28, 2023 to Jul 3, 2026 · Anthem,, Az
- S••••••• F•••••••• S•••••••• I••• formerOct 6, 2022 to Mar 31, 2023 · Phoenix, Az
- J••• M••••• S••••••••• L•• to S•••••••• A••••••• L••left Jul 3, 2026, registered Aug 6, 2026 (34 days) · Wirehouse to affiliated broker-dealer or bank
- S••••••• F•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Mar 31, 2023, registered Apr 28, 2023 (28 days) · RIA to wirehouse
- S••••••• M••••• left J••• M••••• S••••••••• L•• for S•••••••• A••••••• L•• (registered 2026-08-06)Jul 3, 2026 · Advisor changed firm · fact
- S••••••• M••••• left S••••••• F•••••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-04-28)Mar 31, 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
- 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