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••• C••••••••• S•••••
- A•••••••• C•••••• L•• independent RIA currentsince Jan 10, 2017 · Poway, Ca
- E••••• C••••••• L•• formerFeb 5, 2007 to Dec 22, 2016 · San Diego, Ca
- R•• F•••••••• N••••••• L••••• unclassifiedApr 22, 2004 to Jun 6, 2006 · Omaha, Ne
- T•• A••••••• G••••• I••• unclassifiedJul 8, 1997 to Sep 30, 2002 · San Diego, Ca
- R•••••• J• L•••• C••••••••• I••• unclassifiedApr 4, 1996 to Feb 26, 2007 · San Diego, Ca
- E••••• C••••••• L•• to A•••••••• C•••••• L••left Dec 22, 2016, registered Jan 10, 2017 (19 days) · Other
- R•••••• J• L•••• C••••••••• I••• to T•• A••••••• G••••• I•••left Feb 26, 2007, registered Jul 8, 1997 (-3520 days) · Other
- R•• F•••••••• N••••••• L••••• to E••••• C••••••• L••left Jun 6, 2006, registered Feb 5, 2007 (244 days) · Other
- T•• A••••••• G••••• I••• to R•• F•••••••• N••••••• L•••••left Sep 30, 2002, registered Apr 22, 2004 (570 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address