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.
B•••••• S•• R•••••••
- A•••• W••••• A••••••• state registered currentsince Nov 13, 2023 · Baton Rouge, La
- I••••••••• W••••• C••••••• L•• independent RIAFeb 1, 2023 to Nov 1, 2023 · Solana Beach, Ca
- L••••• W••••• A•••••••• I••• formerJan 31, 2021 to Feb 21, 2023 · Baton Rouge, La
- L••••• W••••• A•••••••• I••• formerFeb 27, 2014 to Dec 31, 2020 · Solana Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 17, 2010 to Feb 21, 2014 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 25, 2007 to Apr 1, 2010 · Oceanside, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 12, 1998 to Apr 23, 2007 · Carlsbad, Ca
- I••••••••• W••••• C••••••• L•• to A•••• W••••• A•••••••left Nov 1, 2023, registered Nov 13, 2023 (12 days) · RIA to a state-registered adviser
- L••••• W••••• A•••••••• I••• to I••••••••• W••••• C••••••• L••left Feb 21, 2023, registered Feb 1, 2023 (-20 days) · RIA to RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to L••••• W••••• A•••••••• I•••left Feb 21, 2014, registered Feb 27, 2014 (6 days) · Other
- W•••• F•••• I••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 1, 2010, registered Mar 17, 2010 (-15 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Apr 23, 2007, registered Apr 25, 2007 (2 days) · Other
- B•••••• S•• R••••••• left I••••••••• W••••• C••••••• L•• for A•••• W••••• A••••••• (registered 2023-11-13)Nov 1, 2023 · Advisor changed firm · fact
- B•••••• S•• R••••••• left L••••• W••••• A•••••••• I••• for I••••••••• W••••• C••••••• L•• (registered 2023-02-01)Feb 21, 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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address