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••• F••• A••••••
- H•••••• S••••••••• I••• BD affiliated currentsince May 27, 2015 · San Diego, Ca
- W•••••• S••••••••• I••• BD affiliatedJan 26, 2011 to May 28, 2015 · Solana Beach, Ca
- S•••• • Y•••••••• L•• formerJul 17, 2006 to Jan 28, 2011 · San Diego, Ca
- P•••• S•••••• • C•• institutionalMar 2, 2001 to Jul 21, 2006 · Lajolla, Ca
- W•••••• S••••••••• I••• to H•••••• S••••••••• I•••left May 28, 2015, registered May 27, 2015 (-1 days) · Other
- S•••• • Y•••••••• L•• to W•••••• S••••••••• I•••left Jan 28, 2011, registered Jan 26, 2011 (-2 days) · Other
- P•••• S•••••• • C•• to S•••• • Y•••••••• L••left Jul 21, 2006, registered Jul 17, 2006 (-4 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address