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•••• B••••
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 2, 2011 · Coronado, Ca
- M•••••• W••••• M••••••••• I••• unclassifiedNov 1, 2012 to Feb 5, 2021 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedApr 1, 2010 to Nov 1, 2011 · San Diego, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Apr 5, 2010 · San Diego, Ca
- W••• I••••••••• I••• unclassifiedDec 23, 2008 to May 2, 2009 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJul 25, 2008 to Dec 26, 2008 · Coronado, Ca
- W••••••• F•••••••• S•••••••• I••• formerJul 1, 2008 to Aug 1, 2008 · Coronado, Ca
- L•• F•••••••• L•• BD affiliatedFeb 25, 2005 to Jul 10, 2008 · Coronado, Ca
- M•••••• W••••• M••••••••• I••• to no registered destinationleft Feb 5, 2021 · Departure, no registered destination
- I••••••••• F•••••••• G••••• L•• to C••••••••• F•••••••• N••••••left Nov 1, 2011, registered Nov 2, 2011 (1 days) · Other
- C•••• I••••••••• S••••••• C•••• to I••••••••• F•••••••• G••••• L••left Apr 5, 2010, registered Apr 1, 2010 (-4 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to W••• I••••••••• I•••left Dec 26, 2008, registered Dec 23, 2008 (-3 days) · Other
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 1, 2008, registered Jul 25, 2008 (-7 days) · Other
- L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jul 10, 2008, registered Jul 1, 2008 (-9 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address