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.
T••• D••• N•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 28, 2021 · Flower Mound, Tx
- T• A••••••••• I••• formerAug 28, 2013 to Oct 14, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMar 18, 2011 to Jul 26, 2013 · San Diego, Ca
- A••••••••• S••••••••• C•••• unclassifiedSep 29, 2004 to Nov 13, 2009 · Boston, Ma
- C•••••••• F•••••••• G••••••••• independent RIAMar 18, 2004 to Jul 29, 2004 · C••••••••, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJun 4, 2003 to Dec 23, 2009 · El Segundo, Ca
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Jul 28, 2021 (-443 days) · channel change inside one enterprise, not a move · moved with a team
- L•• F•••••••• L•• to T• A••••••••• I•••left Jul 26, 2013, registered Aug 28, 2013 (33 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to C•••••••• F•••••••• G•••••••••left Dec 23, 2009, registered Mar 18, 2004 (-2106 days) · Other
- A••••••••• S••••••••• C•••• to L•• F•••••••• L••left Nov 13, 2009, registered Mar 18, 2011 (490 days) · Other
- C•••••••• F•••••••• G••••••••• to A••••••••• S••••••••• C••••left Jul 29, 2004, registered Sep 29, 2004 (62 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address