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•••• P• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 22, 2021 · Fullerton, Ca
- S•••••••• S••••••••• BD affiliatedJan 22, 2021 to Feb 2, 2021 · Concord, Nh
- C••• F•••••••• S•••••••• L••• formerAug 5, 2015 to Jan 6, 2021 · Hemet, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 2, 2011 to Aug 5, 2015 · Palm Springs, Ca
- C••••••• S••••••••• I••• BD affiliatedNov 3, 2006 to Jun 24, 2010 · Belmont, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 5, 2000 to Oct 27, 2006 · Marblehead, Ma
- S•••••••• S••••••••• to L•• F•••••••• L••left Feb 2, 2021, registered Feb 22, 2021 (20 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to S•••••••• S•••••••••left Jan 6, 2021, registered Jan 22, 2021 (16 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Aug 5, 2015, registered Aug 5, 2015 (0 days) · Other
- C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 24, 2010, registered Nov 2, 2011 (496 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Oct 27, 2006, registered Nov 3, 2006 (7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address