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.
P••• E••••• D••••••
- P•••••• W••••• M••••••••• L•• i••••••••• wealth currentsince Nov 17, 2023 · San Francisco, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerApr 17, 2014 to May 24, 2019 · Rancho Santa Fe, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 9, 2009 to Apr 23, 2014 · Rancho Santa Fe, Ca
- W••••• A•••••••• I••• formerJun 8, 2004 to Feb 16, 2024 · Henderson, Nv
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 2, 2003 to Sep 1, 2004 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 1997 to Jul 1, 2003 · San Diego, Ca
- W••••• A•••••••• I••• to I••••••••• F•••••••• G••••• L••left Feb 16, 2024, registered Feb 9, 2009 (-5485 days) · Other · moved with a team
- F•••• A••••• A••••••• S•••••••• I••• to P•••••• W••••• M••••••••• L••left May 24, 2019, registered Nov 17, 2023 (1638 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- I••••••••• F•••••••• G••••• L•• to F•••• A••••• A••••••• S•••••••• I•••left Apr 23, 2014, registered Apr 17, 2014 (-6 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to W••••• A•••••••• I•••left Sep 1, 2004, registered Jun 8, 2004 (-85 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 1, 2003, registered Jul 2, 2003 (1 days) · Other
- P••• E••••• D•••••• left W••••• A•••••••• I••• for I••••••••• F•••••••• G••••• L•• (registered 2009-02-09)Feb 16, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address