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.
- E••••• J•••• national BD currentsince Nov 20, 2020 · La Jolla, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedNov 12, 2019 to Nov 24, 2020 · San Diego, Ca
- M••••• S•••••• wirehouseJun 9, 2016 to Sep 17, 2019 · La Jolla, Ca
- W•••• F•••• A••••••• wirehouseNov 21, 2014 to Jun 10, 2016 · La Jolla, Ca
- A••••••• F•••••••• A•••••••• L•• to E••••• J••••left Nov 24, 2020, registered Nov 20, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••• F•••••••• A•••••••• L••left Sep 17, 2019, registered Nov 12, 2019 (56 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Jun 10, 2016, registered Jun 9, 2016 (-1 days) · Wirehouse to wirehouse · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address