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.
M••••• ••••• Y••••• Y•••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince May 10, 2013 · Tampa, Fl
- F•••••••• A••••••• O• A••••••• L•• formerOct 26, 2007 to May 10, 2013 · Carlsbad, Ca
- G••••• S••••••••• I••• formerAug 28, 2003 to Oct 29, 2007 · Carlsbad, Ca
- S••••• S••••••••• C••••••••• unclassifiedApr 26, 1999 to Sep 2, 2003 · San Diego, Ca
- F•••••••• A••••••• O• A••••••• L•• to J• W• C••• A•••••••• I•••left May 10, 2013, registered May 10, 2013 (0 days) · corporate re-registration, not a move
- G••••• S••••••••• I••• to F•••••••• A••••••• O• A••••••• L••left Oct 29, 2007, registered Oct 26, 2007 (-3 days) · Other
- S••••• S••••••••• C••••••••• to G••••• S••••••••• I•••left Sep 2, 2003, registered Aug 28, 2003 (-5 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address