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.
G••• A••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 3, 2019 · Murrieta, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 16, 2008 to Apr 4, 2019 · Temecula, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 15, 2007 to Jul 28, 2008 · San Diego, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Jan 30, 2007 · Rancho Sante Fe, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 4, 2019, registered Apr 3, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 30, 2007, registered Feb 15, 2007 (16 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address