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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- W•••• F•••• A••••••• wirehouse currentsince Apr 6, 2026 · La Jolla, Ca
- W•••• F•••• A••••••• wirehouse currentsince Feb 26, 2020 · La Jolla, Ca
- E•••••••• A•••••••• L•• national BDSep 3, 2008 to Apr 23, 2019 · San Diego, Ca
- M•••••• A••••• A•••••••• I••• unclassifiedApr 9, 2007 to Nov 1, 2007 · San Diego, Ca
- F•••• A••••• S••••••••• I••• formerJan 26, 2007 to Apr 17, 2007 · San Diego, Ca
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Apr 23, 2019, registered Feb 26, 2020 (309 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• A••••• A•••••••• I••• to E•••••••• A•••••••• L••left Nov 1, 2007, registered Sep 3, 2008 (307 days) · Other
- F•••• A••••• S••••••••• I••• to M•••••• A••••• A•••••••• I•••left Apr 17, 2007, registered Apr 9, 2007 (-8 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address