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••••• E•••••• C••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 19, 2019 · Escondido, Ca
- C••• F•••••••• S•••••••• L••• formerApr 23, 2008 to Sep 18, 2019 · Vista, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 4, 2003 to Apr 15, 2008 · Oceanside, Ca
- C••• F•••••••• S•••••••• L••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 18, 2019, registered Sep 19, 2019 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- U••• B•••••• A•••••••• L•• to C••• F•••••••• S•••••••• L•••left Apr 15, 2008, registered Apr 23, 2008 (8 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address