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••• H••
- A•••••• C•••••• M••••••••• L•• independent RIA currentsince Mar 13, 2025 · Rancho Santa Fe, Ca
- O••••••••• • C•• I••• BD affiliatedJul 21, 2009 to Mar 17, 2011 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 5, 2005 to Jun 26, 2009 · La Jolla, Ca
- D••••••• B••• S••••••••• I••• no RAUMJun 18, 2001 to Jul 21, 2005 · Los Angeles, Ca
- O••••••••• • C•• I••• to A•••••• C•••••• M••••••••• L••left Mar 17, 2011, registered Mar 13, 2025 (5110 days) · Other
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Jun 26, 2009, registered Jul 21, 2009 (25 days) · Other
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Jul 21, 2005, registered Jul 5, 2005 (-16 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address