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.
L•••• P••• P•••••
- L•••• P••••• W••••• M••••••••• state registered currentsince Mar 30, 2018 · San Luis Obispo, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 26, 2008 to Sep 28, 2011 · San Luis Obispo, Ca
- E•••••••• A••••••• I•• unclassifiedNov 29, 2004 to Dec 31, 2008 · San Luis Obispo, Ca
- F•••••••• W••• G•••• formerOct 14, 1998 to Dec 1, 2004 · San Luis Obispo, Ca
- S••••••••• A•••••• A•••••••• I••• to L•••• P••••• W••••• M•••••••••left Sep 28, 2011, registered Mar 30, 2018 (2375 days) · Other
- E•••••••• A••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Dec 31, 2008, registered Dec 26, 2008 (-5 days) · Other
- F•••••••• W••• G•••• to E•••••••• A••••••• I••left Dec 1, 2004, registered Nov 29, 2004 (-2 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address