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.
E•••• B•••
- E•••••• E••••• L•• BD affiliated currentsince Mar 21, 2018 · San Mateo, Ca
- W••••••• F•••••••• S•••••••• I••• formerSep 23, 2015 to Dec 5, 2016 · Thousand Oaks, Ca
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerJun 2, 2011 to Sep 23, 2015 · Thousand Oak, Ca
- P•••••• A•••• M••••••••• formerMar 17, 2011 to Jul 13, 2011 · Calabasas, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedMay 3, 2010 to Jun 1, 2011 · San Diego, Ca
- A•• A•••••• S••••••• L•• unclassifiedMay 31, 2005 to Apr 29, 2010 · Calabasas, Ca
- W•••••••• F•••••••• S•••••••• L•• unclassifiedJan 20, 2005 to Jun 22, 2005 · St. Paul, Mn
- W••••••• F•••••••• S•••••••• I••• to E•••••• E••••• L••left Dec 5, 2016, registered Mar 21, 2018 (471 days) · Other
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Sep 23, 2015, registered Sep 23, 2015 (0 days) · Other
- P•••••• A•••• M••••••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Jul 13, 2011, registered Jun 2, 2011 (-41 days) · Other
- I••••••••• F•••••••• G••••• L•• to P•••••• A•••• M•••••••••left Jun 1, 2011, registered Mar 17, 2011 (-76 days) · Other
- A•• A•••••• S••••••• L•• to I••••••••• F•••••••• G••••• L••left Apr 29, 2010, registered May 3, 2010 (4 days) · Other
- W•••••••• F•••••••• S•••••••• L•• to A•• A•••••• S••••••• L••left Jun 22, 2005, registered May 31, 2005 (-22 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address