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.
S•••••• H••••• G•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 17, 2021 · La Mesa, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedJan 10, 2013 to Sep 17, 2021 · San Diego, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 6, 2012 to Dec 10, 2012 · Pleasant Hill, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedMay 2, 2011 to Jan 6, 2012 · Corona, Ca
- I••••••••• F•••••••• G••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 17, 2021, registered Sep 17, 2021 (0 days) · Affiliated broker-dealer or bank to another
- T••••••••• F•••••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••left Dec 10, 2012, registered Jan 10, 2013 (31 days) · Other
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address