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.
C••••••••• J••• B••••••
- C• A•••••••• L•• independent RIA currentsince Oct 21, 2020 · Avila Beach, Ca
- C••••••• W••••• M••••••••• L•• formerMar 4, 2020 to Dec 2, 2020 · Avila Beach, Ca
- D•••• C•••••• G••••• L•• formerNov 9, 2012 to Apr 7, 2020 · Avila Beach, Ca
- W•••• F•••• A••••••• wirehouseMar 23, 2009 to Nov 15, 2012 · San Luis Obispo, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 13, 2002 to Apr 15, 2009 · San Luis Obispo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Dec 16, 2002 · San Luis Obispo, Ca
- C••••••• W••••• M••••••••• L•• to C• A•••••••• L••left Dec 2, 2020, registered Oct 21, 2020 (-42 days) · RIA to a newly registered adviser · moved with a team
- D•••• C•••••• G••••• L•• to C••••••• W••••• M••••••••• L••left Apr 7, 2020, registered Mar 4, 2020 (-34 days) · RIA to RIA
- W•••• F•••• A••••••• to D•••• C•••••• G••••• L••left Nov 15, 2012, registered Nov 9, 2012 (-6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 15, 2009, registered Mar 23, 2009 (-23 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 16, 2002, registered Dec 13, 2002 (-3 days) · Wirehouse to wirehouse
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address