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.
B•••• G••••• G•••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 22, 2019 · Santa Barbara, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 2, 2019 · Santa Barbara, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 3, 2008 to Jun 1, 2009 · Santa Barbara, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 1, 1990 to Jul 24, 2008 · Santa Barbara, Ca
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 2, 2019, registered Mar 22, 2019 (-11 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Jul 24, 2008, registered Jul 3, 2008 (-21 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
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address