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.
M••• L•• P•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 31, 2022 · Roanoke, Tx
- T• A••••••••• I••• formerFeb 14, 2012 to Oct 14, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedSep 24, 2008 to Mar 26, 2009 · San Diego, Ca
- D••••• independent RIAOct 28, 2005 to Nov 26, 2007 · San Diego, Ca
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Aug 31, 2022 (-44 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to T• A••••••••• I•••left Mar 26, 2009, registered Feb 14, 2012 (1055 days) · Other
- D••••• to L•• F•••••••• L••left Nov 26, 2007, registered Sep 24, 2008 (303 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address