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.
W•••••• D•• G•••••
- C••••••• F•••••••• S•••••• C••••••••• former currentsince May 18, 2017 · Centennial, Co
- S••••• B•••••• F••••••••• I••• unclassifiedFeb 24, 2017 to May 24, 2017 · La Jolla, Ca
- U••• B•••••• I••••••••• I••• formerNov 22, 2011 to Dec 15, 2016 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Nov 28, 2011 · Encinitas, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 12, 1998 to Oct 23, 2009 · Encinitas, Ca
- S••••• B•••••• F••••••••• I••• to C••••••• F•••••••• S•••••• C•••••••••left May 24, 2017, registered May 18, 2017 (-6 days) · Other
- U••• B•••••• I••••••••• I••• to S••••• B•••••• F••••••••• I•••left Dec 15, 2016, registered Feb 24, 2017 (71 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Nov 28, 2011, registered Nov 22, 2011 (-6 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- Former SEC-registered adviserderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address