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.
C••••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · El Cajon, Ca
- C••• B•••••••• S•••••••• I••• formerNov 21, 2018 to May 18, 2022 · San Diego, Ca
- Q•••••• A•••• M••••••••• I••• formerDec 22, 2017 to Nov 9, 2018 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 1, 2016 to Oct 30, 2017 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedApr 13, 2015 to Jul 12, 2016 · San Diego, Ca
- Q•••••• A•••• M••••••••• I••• formerSep 6, 2006 to Apr 13, 2015 · Minneapolis, Mn
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 22, 2002 to Dec 16, 2002 · La Verne, Ca
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to C••• B•••••••• S•••••••• I•••left Nov 9, 2018, registered Nov 21, 2018 (12 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to Q•••••• A•••• M••••••••• I•••left Oct 30, 2017, registered Dec 22, 2017 (53 days) · Other
- I••••••••• F•••••••• G••••• L•• to C••••• I••••••••• A••••••• L••left Jul 12, 2016, registered Jul 1, 2016 (-11 days) · Other
- Q•••••• A•••• M••••••••• I••• to I••••••••• F•••••••• G••••• L••left Apr 13, 2015, registered Apr 13, 2015 (0 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Dec 16, 2002, registered Sep 6, 2006 (1360 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address