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•••••• P•••••• S••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Sep 9, 2015 · Santa Barbara, Ca
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerMar 6, 2009 to Sep 9, 2015 · Santa Barbara, Ca
- B••••••••• S••••••••• C••••••••• unclassifiedFeb 14, 2007 to Jul 3, 2007 · Santa Barbara, Ca
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C•••••••• F••••••••• I•••left Sep 9, 2015, registered Sep 9, 2015 (0 days) · Other
- B••••••••• S••••••••• C••••••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Jul 3, 2007, registered Mar 6, 2009 (612 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address