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•••••• J•••• C••••••
- W•• F•••••••• independent RIA currentsince May 7, 2019 · Carlsbad, Ca
- S••••••• G••••• S••••••••• L•• formerJan 2, 2015 to Jul 2, 2019 · Carlsbad, Ca
- S••••••• G••••• S••••••••• L•• formerJan 10, 2011 to Dec 31, 2014 · Carlsbad, Ca
- T••••• P•••• S••••••••• I••• unclassifiedNov 10, 2010 to Jan 27, 2011 · San Diego, Ca
- S••••••• G••••• S••••••••• L•• formerNov 9, 2010 to Dec 31, 2010 · Carlsbad, Ca
- N•• A•••••••• I••• unclassifiedOct 28, 2008 to Nov 9, 2010 · Carlsbad, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 27, 2001 to Oct 31, 2008 · Carlsbad, Ca
- S••••••• G••••• S••••••••• L•• to W•• F••••••••left Jul 2, 2019, registered May 7, 2019 (-56 days) · RIA to RIA
- S••••••• G••••• S••••••••• L•• to S••••••• G••••• S••••••••• L••left Dec 31, 2014, registered Jan 2, 2015 (2 days) · channel change inside one enterprise, not a move
- T••••• P•••• S••••••••• I••• to S••••••• G••••• S••••••••• L••left Jan 27, 2011, registered Jan 10, 2011 (-17 days) · Other
- S••••••• G••••• S••••••••• L•• to T••••• P•••• S••••••••• I•••left Dec 31, 2010, registered Nov 10, 2010 (-51 days) · Other
- N•• A•••••••• I••• to S••••••• G••••• S••••••••• L••left Nov 9, 2010, registered Nov 9, 2010 (0 days) · Other
- U•• F•••••••• S••••••• I••• to N•• A•••••••• I•••left Oct 31, 2008, registered Oct 28, 2008 (-3 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