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••• H••••• H•••
- O•••• W•••••• I••• BD affiliated currentsince Dec 11, 2023 · Carlsbad, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Dec 11, 2023 · Carlsbad, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerApr 12, 2013 to Nov 12, 2020 · Carlsbad, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerDec 8, 2008 to Apr 24, 2013 · Carlsbad, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Dec 19, 2008 · Carlsbad, Ca
- C••• F••••••••• L•• unclassifiedAug 30, 2004 to Feb 9, 2006 · Carlsbad, Ca
- S••••• S••••••••• C••••••••• unclassifiedMay 29, 2003 to Oct 31, 2005 · Carlsbad, Ca
- P•••• S•••••• • C•• institutionalMay 30, 2001 to May 29, 2003 · La Jolla, Ca
- C••••• I••••••••• A••••••• L•• to O•••• W•••••• I•••left Dec 11, 2023, registered Dec 11, 2023 (0 days) · Affiliated broker-dealer or bank to another
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to F•••• A••••• A••••••• S•••••••• I•••left Apr 24, 2013, registered Apr 12, 2013 (-12 days) · Other
- S•••••••• F••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 19, 2008, registered Dec 8, 2008 (-11 days) · Other
- C••• F••••••••• L•• to S•••••••• F••••••••• I•••left Feb 9, 2006, registered Oct 31, 2005 (-101 days) · Other
- S••••• S••••••••• C••••••••• to C••• F••••••••• L••left Oct 31, 2005, registered Aug 30, 2004 (-427 days) · Other
- P•••• S•••••• • C•• to S••••• S••••••••• C•••••••••left May 29, 2003, registered May 29, 2003 (0 days) · Other
- J••• H••••• H••• left C••••• I••••••••• A••••••• L•• for O•••• W•••••• I••• (registered 2023-12-11)Dec 11, 2023 · Advisor changed firm · fact
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