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.
P••• Z•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 3, 2013 · Ramona, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 3, 2011 to Apr 4, 2013 · San Diego, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 24, 2010 to Jun 8, 2011 · Temecula, Ca
- F•••• F•••••••• E••••• C••••••••• formerMar 23, 2009 to Sep 13, 2010 · Ramona, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 9, 2004 to Feb 9, 2009 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Jun 14, 2004 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Apr 4, 2013, registered Apr 3, 2013 (-1 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 8, 2011, registered Jun 3, 2011 (-5 days) · Other
- F•••• F•••••••• E••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Sep 13, 2010, registered Sep 24, 2010 (11 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to F•••• F•••••••• E••••• C•••••••••left Feb 9, 2009, registered Mar 23, 2009 (42 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 14, 2004, registered Jun 9, 2004 (-5 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address