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•••••• A••••• C••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 31, 2018 · Paso Robles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 22, 2015 to Oct 29, 2018 · San Luis Obispo, Ca
- M••••• S•••••• wirehouseOct 21, 2010 to Jun 12, 2015 · Paso Robles, Ca
- F•••••••• A••••••• O• A••••••• L•• formerOct 5, 2009 to Aug 27, 2010 · Atascadero, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 29, 2018, registered Oct 31, 2018 (2 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 12, 2015, registered Jun 22, 2015 (10 days) · Wirehouse to wirehouse · moved with a team
- F•••••••• A••••••• O• A••••••• L•• to M••••• S••••••left Aug 27, 2010, registered Oct 21, 2010 (55 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address