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••••• H••••• I•••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Jan 18, 2024 · San Diego, Ca
- A••••••• P••••••• A•••••••• L•• formerOct 21, 2011 to May 3, 2018 · La Quinta, Ca
- I••••• W••••• M••••••••• I•• unclassifiedJun 30, 2008 to Jul 1, 2024 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedDec 31, 1997 to Oct 31, 2011 · San Diego, Ca
- I••••• W••••• M••••••••• I•• to A••••••• P••••••• A•••••••• L••left Jul 1, 2024, registered Oct 21, 2011 (-4637 days) · Other
- A••••••• P••••••• A•••••••• L•• to B••••• P••••• A•••••••• L••left May 3, 2018, registered Jan 18, 2024 (2086 days) · RIA to RIA
- L•• F•••••••• L•• to I••••• W••••• M••••••••• I••left Oct 31, 2011, registered Jun 30, 2008 (-1218 days) · Other
- R••••• H••••• I••••• left I••••• W••••• M••••••••• I•• for A••••••• P••••••• A•••••••• L•• (registered 2011-10-21)Jul 1, 2024 · Advisor changed firm · fact
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address