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.
S•••••• A••• R•••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Oct 19, 2021 · Vista, Ca
- W•••••• W••••• M••••••••• L•• i••••••••• wealthFeb 25, 2020 to Sep 21, 2021 · Vista, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedMar 16, 2018 to Feb 18, 2020 · San Diego, Ca
- I••••••••• F•••••••• P••••••• BD affiliatedNov 30, 2017 to Mar 16, 2018 · Vista, Ca
- L•• F•••••••• L•• BD affiliatedOct 5, 2009 to Jun 20, 2016 · San Diego, Ca
- M••••• S•••••• wirehouseJun 23, 2009 to Oct 15, 2009 · Rancho Bernardo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 4, 2006 to Apr 28, 2009 · Murrieta, Ca
- W•••••• W••••• M••••••••• L•• to P•••••• A•••••• G••••• L••left Sep 21, 2021, registered Oct 19, 2021 (28 days) · RIA to affiliated broker-dealer or bank
- I••••••••• F•••••••• G••••• L•• to W•••••• W••••• M••••••••• L••left Feb 18, 2020, registered Feb 25, 2020 (7 days) · RIA to RIA
- I••••••••• F•••••••• P••••••• to I••••••••• F•••••••• G••••• L••left Mar 16, 2018, registered Mar 16, 2018 (0 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Jun 20, 2016, registered Nov 30, 2017 (528 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Oct 15, 2009, registered Oct 5, 2009 (-10 days) · Other
- W•••• F•••• I••••••••• L•• to M••••• S••••••left Apr 28, 2009, registered Jun 23, 2009 (56 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address