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.
- M••••• S•••••• wirehouse currentsince Aug 1, 2017 · Coos Bay, Or
- L•• F•••••••• L•• BD affiliatedJul 1, 2014 to Dec 24, 2015 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 8, 2013 to Jun 11, 2014 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 23, 2013 · San Diego, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 20, 2012 to Oct 1, 2012 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 5, 2012 · Scottsdale, Az
- M••••• S•••••• • C•• L•• unclassifiedSep 15, 2008 to Jun 1, 2009 · Scottsdale, Az
- U•• F•••••••• S••••••• I••• wirehouseJun 18, 2008 to Oct 17, 2008 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerOct 31, 2005 to May 28, 2008 · Phoenix, Az
- S••••••••• S••••••••• I••• unclassifiedJun 25, 2004 to Oct 31, 2005 · Phoenix, Az
- L•• F•••••••• L•• to M••••• S••••••left Dec 24, 2015, registered Aug 1, 2017 (586 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 11, 2014, registered Jul 1, 2014 (20 days) · Other
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 23, 2013, registered Aug 8, 2013 (16 days) · Wirehouse to wirehouse
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Oct 5, 2012, registered Sep 20, 2012 (-15 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Oct 17, 2008, registered Sep 15, 2008 (-32 days) · Other
- S•••••••• F••••••••• I••• to U•• F•••••••• S••••••• I•••left May 28, 2008, registered Jun 18, 2008 (21 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address