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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 9, 2022 · Saint Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 8, 2022 · St. Petersburg, Fl
- M•••••• A••••• S••••••••• L•• BD affiliatedApr 2, 2013 to Mar 7, 2022 · San Diego, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJan 13, 2012 to Mar 5, 2013 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerMar 19, 2009 to Oct 7, 2010 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 19, 2006 to Jan 9, 2008 · La Jaolla, Ca
- T• A••••••••• I••• formerMay 19, 2006 to Jan 9, 2008 · San Diego, Ca
- W••• I••••••••• I••• unclassifiedFeb 21, 2006 to Mar 7, 2006 · San Marcos, Ca
- M•••••• A••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 7, 2022, registered Apr 8, 2022 (32 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to M•••••• A••••• S••••••••• L••left Mar 5, 2013, registered Apr 2, 2013 (28 days) · Other
- C••• F•••••••• S•••••••• L••• to A••••••• F•••••••• A•••••••• L••left Oct 7, 2010, registered Jan 13, 2012 (463 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 9, 2008, registered May 19, 2006 (-600 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 9, 2008, registered May 19, 2006 (-600 days) · channel change inside one enterprise, not a move
- W••• I••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 7, 2006, registered May 19, 2006 (73 days) · Other
- D•••• O•••••• G••••••• left M•••••• A••••• S••••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2022-04-08)Mar 7, 2022 · Advisor changed firm · fact
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