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.
B•••••• J••••• G••••••
- S•• L••• W••••• A••••••• independent RIA currentsince May 10, 2021 · San L••• Obispo, Ca
- W•••• F•••• A••••••• wirehouseMar 23, 2009 to Jul 24, 2020 · San L••• Obispo, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 13, 2002 to Apr 15, 2009 · San L••• Obispo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 29, 1999 to Dec 16, 2002 · San L••• Obispo, Ca
- W•••• F•••• A••••••• to S•• L••• W••••• A•••••••left Jul 24, 2020, registered May 10, 2021 (290 days) · Wirehouse to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 15, 2009, registered Mar 23, 2009 (-23 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 16, 2002, registered Dec 13, 2002 (-3 days) · Wirehouse to wirehouse
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