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.
S•••••• J•••• R••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 21, 2023 · Fallbrook, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 8, 2019 to Jun 27, 2023 · Fallbrook, Ca
- H•••••• S••••••••• I••• BD affiliatedMar 3, 2015 to Mar 12, 2019 · Del Mar, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 1, 2013 to Apr 13, 2015 · Bonsall, Ca
- C••••••• W••••• • C•• formerJun 5, 2006 to Oct 2, 2013 · Carlsbad, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 8, 1997 to Jun 13, 2006 · Fallbrook, Ca
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 27, 2023, registered Jun 21, 2023 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- H•••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 12, 2019, registered Mar 8, 2019 (-4 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to H•••••• S••••••••• I•••left Apr 13, 2015, registered Mar 3, 2015 (-41 days) · Other
- C••••••• W••••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Oct 2, 2013, registered Oct 1, 2013 (-1 days) · Other
- A• G• E•••••• • S•••• I••• to C••••••• W••••• • C••left Jun 13, 2006, registered Jun 5, 2006 (-8 days) · Other
- S•••••• J•••• R•••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-06-21)Jun 27, 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
- 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