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.
T•••• J••••••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 28, 2010 · San Luis Obispo, Ca
- R•• C•••••• M••••••• L•• national BDJan 12, 2009 to Oct 7, 2010 · San Luis Obispo, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 13, 2002 to Jan 27, 2009 · San Luis Obispo, Ca
- M••••• S•••••• D• I••• unclassifiedFeb 20, 2001 to Dec 16, 2002 · S Luis Obisp, Ca
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Oct 7, 2010, registered Sep 28, 2010 (-9 days) · Other
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jan 27, 2009, registered Jan 12, 2009 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Dec 16, 2002, registered Dec 13, 2002 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address