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.
M•••••• J• C•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 10, 2016 · Rohnert Park, Ca
- P•••••••• I•••••••• O• A•••••• formerMar 14, 2012 to Jul 22, 2016 · San Rafael, Ca
- S••••••• P•••••• F••••••••• L•• formerDec 14, 2004 to Jul 17, 2007 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerAug 12, 2003 to Sep 9, 2005 · San Diego, Ca
- C••••• A•••••• N••••••• L•• formerJul 17, 2002 to Aug 19, 2003 · San Rafael , Ca
- P•••••••• I•••••••• O• A•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 22, 2016, registered Jun 10, 2016 (-42 days) · Other · moved with a team
- S••••••• P•••••• F••••••••• L•• to P•••••••• I•••••••• O• A••••••left Jul 17, 2007, registered Mar 14, 2012 (1702 days) · Other
- C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••left Sep 9, 2005, registered Dec 14, 2004 (-269 days) · Other
- C••••• A•••••• N••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 19, 2003, registered Aug 12, 2003 (-7 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address