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.
T••••• W•••• F••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 13, 2022 · New Orleans, La
- S••••••• P•••••• F••••••••• L•• formerNov 10, 2014 to Jun 13, 2022 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerNov 10, 2014 to Jun 13, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMar 22, 2010 to Nov 20, 2014 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 25, 2010 · La Jolla, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · La Jolla, Ca
- M••••• S•••••• D• I••• unclassifiedApr 12, 2006 to Apr 2, 2007 · Lajolla, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMay 18, 2001 to Apr 7, 2006 · El Cajon , Ca
- C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••left Jun 13, 2022, registered Nov 10, 2014 (-2772 days) · Other
- S••••••• P•••••• F••••••••• L•• to C••• F•••••••• S•••••••• L•••left Jun 13, 2022, registered Nov 10, 2014 (-2772 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Nov 20, 2014, registered Nov 10, 2014 (-10 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Mar 25, 2010, registered Mar 22, 2010 (-3 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to M••••• S•••••• D• I•••left Apr 7, 2006, registered Apr 12, 2006 (5 days) · Other
- T••••• W•••• F•••••• left C••• F•••••••• S•••••••• L••• for S••••••• P•••••• F••••••••• L•• (registered 2014-11-10)Jun 13, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address