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.
R•••••• L•• F••
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 29, 2017 · Oxnard, Ca
- U••••• C•••••• F•••••••• A••••••• independent RIAAug 30, 2005 to Sep 29, 2017 · Oxnard, Ca
- G••••• S••••••••• I••• formerMay 31, 2005 to Sep 29, 2017 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 1997 to Jun 3, 2005 · Oxnard, Ca
- U••••• C•••••• F•••••••• A••••••• to C••••••••• F•••••••• N••••••left Sep 29, 2017, registered Sep 29, 2017 (0 days) · Other · moved with a team
- G••••• S••••••••• I••• to U••••• C•••••• F•••••••• A•••••••left Sep 29, 2017, registered Aug 30, 2005 (-4413 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to G••••• S••••••••• I•••left Jun 3, 2005, registered May 31, 2005 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address