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.
G••• R••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 10, 2023 · Carlsbad, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 25, 2022 to Dec 22, 2022 · Carlsbad, Ca
- U••• A••••••• mixed wealthMay 29, 2019 to Mar 16, 2021 · San Marcos, Ca
- A•• D•••••• F••••• O••••• L•• formerMay 29, 2019 to Sep 30, 2020 · San Marcos, Ca
- A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P••••••••• formerMar 28, 2018 to Dec 31, 2018 · Carlsbad, Ca
- O••••••••• • C•• I••• BD affiliatedJun 22, 2011 to Aug 2, 2016 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedSep 15, 2009 to Jul 1, 2011 · San Marcos, Ca
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Dec 22, 2022, registered Aug 10, 2023 (231 days) · Other
- U••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 16, 2021, registered Feb 25, 2022 (346 days) · Other
- A•• D•••••• F••••• O••••• L•• to U••• A•••••••left Sep 30, 2020, registered May 29, 2019 (-490 days) · channel change inside one enterprise, not a move
- A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P••••••••• to A•• D•••••• F••••• O••••• L••left Dec 31, 2018, registered May 29, 2019 (149 days) · Other
- O••••••••• • C•• I••• to A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P•••••••••left Aug 2, 2016, registered Mar 28, 2018 (603 days) · Other
- L•• F•••••••• L•• to O••••••••• • C•• I•••left Jul 1, 2011, registered Jun 22, 2011 (-9 days) · Other
- G••• R•••• left N••••••••• M••••• I••••••••• S••••••••• for M•• I•••••••• S•••••••• L•• (registered 2023-08-10)Dec 22, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address