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.
D••• L•••• C•••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Dec 23, 2020 · Rancho Mirage, Ca
- S• C•••••• A••••••• unclassifiedJun 20, 2019 to Dec 31, 2020 · Rancho Mirage, Ca
- S• C•••••• A••••••• unclassifiedJan 27, 2015 to Jun 21, 2019 · Rancho Mirage, Ca
- G••••• P•••••••• D••••••••• I••• unclassifiedMar 22, 2010 to Aug 31, 2011 · Campbell, Ca
- S• C•••••• A••••••• to B•••••••• A•••• M••••••••• L••left Dec 31, 2020, registered Dec 23, 2020 (-8 days) · Other · moved with a team
- S• C•••••• A••••••• to S• C•••••• A•••••••left Jun 21, 2019, registered Jun 20, 2019 (-1 days) · Other · moved with a team
- G••••• P•••••••• D••••••••• I••• to S• C•••••• A•••••••left Aug 31, 2011, registered Jan 27, 2015 (1245 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address