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•••••• N••• T•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Dixon, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 12, 2016 to Nov 29, 2017 · Stockton, Ca
- C••• F•••••••• S•••••••• L••• formerSep 14, 2015 to Jul 28, 2016 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMNov 13, 2013 to Jan 14, 2014 · San Diego, Ca
- T••••• I••••••••• A••••••• unclassifiedMar 2, 2010 to Oct 31, 2013 · Oceanside, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Aug 29, 2005 · Stockton, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- C••• F•••••••• S•••••••• L••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 28, 2016, registered Oct 12, 2016 (76 days) · Other
- P•••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••left Jan 14, 2014, registered Sep 14, 2015 (608 days) · Other
- T••••• I••••••••• A••••••• to P•••• S••••••••• L••left Oct 31, 2013, registered Nov 13, 2013 (13 days) · Other
- M••••• S•••••• D• I••• to T••••• I••••••••• A•••••••left Aug 29, 2005, registered Mar 2, 2010 (1646 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address