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.
L•••• T••••• D•••••
- D••••• F•••••••• A••••••• L•• state registered currentsince Dec 6, 2019 · Escondido, Ca
- A••••• A••••••• independent RIAMay 14, 2018 to Oct 15, 2019 · Irvine, Ca
- S•••••••• A••••••• L•• national BDNov 13, 2012 to Jul 12, 2017 · Mission Viejo, Ca
- L•• F•••••••• L•• BD affiliatedApr 26, 2006 to Nov 3, 2006 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerJan 23, 2006 to Mar 24, 2006 · Springfield, Ma
- C•••••• S••••• • C••• I••• national BDMar 27, 2003 to Aug 18, 2004 · San Diego, Ca
- A••••• A••••••• to D••••• F•••••••• A••••••• L••left Oct 15, 2019, registered Dec 6, 2019 (52 days) · RIA to a state-registered adviser
- S•••••••• A••••••• L•• to A••••• A•••••••left Jul 12, 2017, registered May 14, 2018 (306 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to S•••••••• A••••••• L••left Nov 3, 2006, registered Nov 13, 2012 (2202 days) · Other
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 24, 2006, registered Apr 26, 2006 (33 days) · Other
- C•••••• S••••• • C••• I••• to M•• F•••••••• S•••••••• I•••left Aug 18, 2004, registered Jan 23, 2006 (523 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
- STATE REGISTEREDderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address