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.
A•••••• J•••• S••••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 13, 2023 · San Diego, Ca
- E•••••• C•••••• M••••••••• L•• formerOct 26, 2018 to Aug 11, 2023 · San Diego, Ca
- S•••••••• I••••••••• M••••••••• formerFeb 10, 2017 to Mar 8, 2018 · Saint Louis, Mo
- E•••••• C•••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left Aug 11, 2023, registered Oct 13, 2023 (63 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• I••••••••• M••••••••• to E•••••• C•••••• M••••••••• L••left Mar 8, 2018, registered Oct 26, 2018 (232 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A•••••• J•••• S•••••••• left E•••••• C•••••• M••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2023-10-13)Aug 11, 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address