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.
W•••••• J••• F•••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Lafayette, Ca
- S••••••• I••••••••• I••• formerMar 14, 2016 to Nov 2, 2018 · Honolulu, Hi
- N••• F•••••••• G••••• I••• formerFeb 5, 2004 to Mar 11, 2016 · Oceanside, Ca
- K••••••• C•••••• C••••••••• formerAug 18, 2003 to Jan 22, 2004 · Del Mar, Ca
- O•••• F•• I••• formerJun 10, 2002 to Sep 8, 2003 · Del Mar, Ca
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to S••••••• I••••••••• I•••left Mar 11, 2016, registered Mar 14, 2016 (3 days) · Other · moved with a team
- K••••••• C•••••• C••••••••• to N••• F•••••••• G••••• I•••left Jan 22, 2004, registered Feb 5, 2004 (14 days) · Other
- O•••• F•• I••• to K••••••• C•••••• C•••••••••left Sep 8, 2003, registered Aug 18, 2003 (-21 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address