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.
I••••• P••••••• R•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 31, 2017 · Carmel, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 4, 2015 to Mar 21, 2017 · San Diego, Ca
- T•• R••••••••• G••••• L•• formerJan 16, 2015 to Sep 29, 2015 · San Diego, Ca
- F•••• C•••••• F•••••••• P•••••••• I••• formerAug 28, 2014 to Nov 12, 2014 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 12, 2012 · Birmingham, Al
- W•••• F•••• I••••••••• L•• unclassifiedJan 29, 2002 to Jan 3, 2011 · Folsom, Ca
- T•• R••••••••• G••••• L•• to U•• F•••••••• S••••••• I•••left Sep 29, 2015, registered Mar 4, 2015 (-209 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to T•• R••••••••• G••••• L••left Nov 12, 2014, registered Jan 16, 2015 (65 days) · Other
- W•••• F•••• A••••••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 12, 2012, registered Aug 28, 2014 (715 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address