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.
J••• E••••• M•••••••
- S•••• I••••• S••••••••• L•• independent RIA currentsince Mar 26, 2015 · San Diego, Ca
- H•••••• F•••••••• G••••• L•• formerOct 3, 2016 to Jul 12, 2017 · San Diego, Ca
- M••••••• F•••••••• unclassifiedJan 26, 2011 to Aug 1, 2016 · San Diego, Ca
- I••••••••• A••••••• C••• formerSep 17, 2009 to Dec 31, 2010 · San Diego, Ca
- W•••••••• F•••••••• G••••• I••• formerFeb 5, 2008 to Nov 10, 2008 · W••••••••, Ga
- W•••••••• S••••••••• L•• unclassifiedMay 30, 2006 to Nov 2, 2007 · Woodland Hills, Ca
- O•••• F•• I••• formerFeb 17, 2005 to Feb 8, 2006 · La Jolla, Ca
- H•••••• F•••••••• G••••• L•• to no registered destinationleft Jul 12, 2017 · Departure, no registered destination
- M••••••• F•••••••• to S•••• I••••• S••••••••• L••left Aug 1, 2016, registered Mar 26, 2015 (-494 days) · Other
- I••••••••• A••••••• C••• to M••••••• F••••••••left Dec 31, 2010, registered Jan 26, 2011 (26 days) · Other
- W•••••••• F•••••••• G••••• I••• to I••••••••• A••••••• C•••left Nov 10, 2008, registered Sep 17, 2009 (311 days) · Other
- W•••••••• S••••••••• L•• to W•••••••• F•••••••• G••••• I•••left Nov 2, 2007, registered Feb 5, 2008 (95 days) · Other
- O•••• F•• I••• to W•••••••• S••••••••• L••left Feb 8, 2006, registered May 30, 2006 (111 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address