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.
J•••• M•••••• J•••
- I••••••• A••••••• S•••••••• L•• mixed wealth currentsince Jan 4, 2023 · El Cajon, Ca
- U••• A••••••• mixed wealthOct 6, 2020 to Dec 31, 2022 · Miami, Fl
- A•• D•••••• F••••• O••••• L•• formerJun 21, 2019 to Sep 30, 2020 · New York, Ny
- A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P••••••••• formerJan 14, 2019 to Jun 5, 2019 · San Diego, Ca
- A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P••••••••• formerNov 17, 2017 to Dec 31, 2018 · Santee, Ca
- B••••• G••••• A•••• M••••••••• BD affiliatedDec 16, 2015 to Nov 8, 2017 · Santee, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 7, 1997 to Apr 27, 2015 · Sandiego, Ca
- U••• A••••••• to I••••••• A••••••• S•••••••• L••left Dec 31, 2022, registered Jan 4, 2023 (4 days) · RIA to RIA
- A•• D•••••• F••••• O••••• L•• to U••• A•••••••left Sep 30, 2020, registered Oct 6, 2020 (6 days) · channel change inside one enterprise, not a move
- A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P••••••••• to A•• D•••••• F••••• O••••• L••left Jun 5, 2019, registered Jun 21, 2019 (16 days) · RIA to a newly registered adviser · moved with a team
- B••••• G••••• A•••• M••••••••• to A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P•••••••••left Nov 8, 2017, registered Nov 17, 2017 (9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••• G••••• A•••• M•••••••••left Apr 27, 2015, registered Dec 16, 2015 (233 days) · Other
- James Michael Jiao left Ucap Americas for Insigneo Advisory Services, Llc (registered 2023-01-04)Dec 31, 2022 · Advisor changed firm · fact
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address