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.
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- C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• manager currentsince May 11, 2023 · San Diego, Ca
- O••••••••• i••••••••• managerDec 3, 2018 to Nov 22, 2023 · Irvine, Ca
- L•• F•••••••• L•• BD affiliatedOct 19, 2012 to Dec 31, 2018 · Bryan, Oh
- I••••••••• F•••••••• P••••••• BD affiliatedOct 29, 2010 to Dec 31, 2018 · San Diego, Ca
- N•• A•••••••• I••• unclassifiedDec 10, 2007 to Dec 1, 2010 · La Jolla, Ca
- G••••• S••••••••• I••• formerSep 2, 2005 to Dec 10, 2007 · La Jolla, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 2, 2005 · La Jolla, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · San Diego, Ca
- O••••••••• to C••••••• P••••••• I••••••••• A•••••••• L••left Nov 22, 2023, registered May 11, 2023 (-195 days) · Other · moved with a team
- L•• F•••••••• L•• to O•••••••••left Dec 31, 2018, registered Dec 3, 2018 (-28 days) · Other · moved with a team
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left Dec 31, 2018, registered Oct 19, 2012 (-2264 days) · Other · moved with a team
- N•• A•••••••• I••• to I••••••••• F•••••••• P•••••••left Dec 1, 2010, registered Oct 29, 2010 (-33 days) · corporate re-registration, not a move
- G••••• S••••••••• I••• to N•• A•••••••• I•••left Dec 10, 2007, registered Dec 10, 2007 (0 days) · Other
- W•••• F•••• A••••••• to G••••• S••••••••• I•••left Sep 2, 2005, registered Sep 2, 2005 (0 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- L•••• R••••• D••••••••• left Onedigital for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2023-05-11)Nov 22, 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
- I••••••••• MANAGERderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address