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.
T••••• E••• S••••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Oct 30, 2020 · Scottsdale, Az
- W•••••• • R••• formerSep 18, 2020 to Nov 6, 2020 · Las Vegas, Nv
- O••••••••• • C•• I••• BD affiliatedOct 2, 2007 to Sep 25, 2020 · Scottsdale, Az
- P•••• S•••••• • C•• institutionalApr 27, 2004 to Dec 31, 2004 · Scottsdale, Az
- W•••••• • R••• to S•••••• W••••• P•••••••• L••left Nov 6, 2020, registered Oct 30, 2020 (-7 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to W•••••• • R•••left Sep 25, 2020, registered Sep 18, 2020 (-7 days) · Affiliated broker-dealer or bank to another
- P•••• S•••••• • C•• to O••••••••• • C•• I•••left Dec 31, 2004, registered Oct 2, 2007 (1005 days) · Other
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
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address