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•••••• H••• H•••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Mar 19, 2020 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseSep 15, 2015 to Apr 13, 2020 · San Diego, Ca
- O••••••••• • C•• I••• BD affiliatedOct 28, 2005 to Oct 1, 2015 · Newport Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 18, 1999 to Oct 21, 2005 · San Diego, Ca
- W•••• F•••• A••••••• to I••••••••• F•••••••• G••••• L••left Apr 13, 2020, registered Mar 19, 2020 (-25 days) · Wirehouse to independent RIA
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Oct 1, 2015, registered Sep 15, 2015 (-16 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Oct 21, 2005, registered Oct 28, 2005 (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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address