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.
S•••••• M•••••• G••••••
- G•••••• W••••• M••••••••• independent RIA currentsince Nov 2, 2017 · San Diego, Ca
- S•••••••• W•••••• L•• independent RIAOct 14, 2016 to Nov 17, 2017 · Los Angeles, Ca
- H••••••••• L•• formerSep 25, 2006 to Nov 11, 2016 · San Diego, Ca
- H••••••••• unclassifiedOct 7, 2004 to Sep 13, 2006 · San Diego, Ca
- M•• A••••••• F•••••••• M••••••••• I••• formerAug 5, 2004 to Oct 21, 2008 · San Diego, Ca
- S•••••••• W•••••• L•• to G•••••• W••••• M•••••••••left Nov 17, 2017, registered Nov 2, 2017 (-15 days) · Other
- H••••••••• L•• to S•••••••• W•••••• L••left Nov 11, 2016, registered Oct 14, 2016 (-28 days) · Other
- M•• A••••••• F•••••••• M••••••••• I••• to H•••••••••left Oct 21, 2008, registered Oct 7, 2004 (-1475 days) · Other
- H••••••••• to H••••••••• L••left Sep 13, 2006, registered Sep 25, 2006 (12 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address