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.
O•••••• S•••• T•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Jul 26, 2011 · Phoenix, Az
- U••• B•••••• A•••••••• L•• BD affiliatedJul 22, 2004 to Sep 24, 2009 · El Cajon, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 11, 2003 to Jul 12, 2004 · La Mesa, Ca
- M••••• S•••••• D• I••• unclassifiedMar 22, 2001 to Nov 25, 2002 · La Jolla, Ca
- U••• B•••••• A•••••••• L•• to E•••••• F•••••••• E••••••left Sep 24, 2009, registered Jul 26, 2011 (670 days) · Other
- C••••••• I••••••••• S••••••• to U••• B•••••• A•••••••• L••left Jul 12, 2004, registered Jul 22, 2004 (10 days) · Other
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Nov 25, 2002, registered Mar 11, 2003 (106 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address