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•••• P•••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Jan 3, 2014 · Tampa, Fl
- F•••••••• A••••••• O• A••••••• L•• formerNov 3, 2009 to May 10, 2013 · Carlsbad, Ca
- U••••• C•••••• F•••••••• A••••••• independent RIAJan 20, 2006 to Nov 6, 2009 · Newport Beach, Ca
- U••••• C•••••• I••••••••• A•••••••• I•• unclassifiedJan 19, 2006 to Mar 13, 2006 · Newport Beach, Ca
- G••••• S••••••••• I••• formerJan 17, 2006 to Nov 2, 2009 · San Diego, Ca
- F•••••••• A••••••• O• A••••••• L•• to J• W• C••• A•••••••• I•••left May 10, 2013, registered Jan 3, 2014 (238 days) · corporate re-registration, not a move
- U••••• C•••••• F•••••••• A••••••• to F•••••••• A••••••• O• A••••••• L••left Nov 6, 2009, registered Nov 3, 2009 (-3 days) · Other
- G••••• S••••••••• I••• to U••••• C•••••• I••••••••• A•••••••• I••left Nov 2, 2009, registered Jan 19, 2006 (-1383 days) · Other
- U••••• C•••••• I••••••••• A•••••••• I•• to U••••• C•••••• F•••••••• A•••••••left Mar 13, 2006, registered Jan 20, 2006 (-52 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