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••••••• C•••• T•••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Aug 26, 2021 · San Luis Obispo, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Sep 21, 2017 · San Luis Obispo, Ca
- F•••• A••••• S••••••••• I••• formerJul 11, 2005 to Jul 2, 2012 · San Luis Obispo, Ca
- T•• T••• G•••• unclassifiedJan 21, 2003 to Nov 15, 2017 · San Luis Obispo, Ca
- T•• T••• G•••• to F•••• A••••• S••••••••• I•••left Nov 15, 2017, registered Jul 11, 2005 (-4510 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to I••••••••• F•••••••• G••••• L••left Sep 21, 2017, registered Aug 26, 2021 (1435 days) · Other · moved with a team
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address