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.
R•••••• A•••••• M•••••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Dec 20, 2021 · Stamford, Ct
- P••••••• F•••••••• S•••••••• I••• BD affiliatedApr 12, 2018 to Dec 20, 2021 · Dallas, Tx
- O•••• F•• I••• formerMay 17, 2011 to Mar 15, 2017 · Addison, Tx
- L•• F•••••••• L•• BD affiliatedFeb 27, 2006 to Feb 3, 2011 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 19, 2003 to Dec 19, 2005 · Chula Vista, Ca
- C••• F•••••••• S•••••••• L••• formerJun 19, 2002 to Jul 31, 2003 · San Diego, Ca
- M••••• S•••••• D• I••• unclassifiedJul 3, 2000 to Jun 27, 2002 · San Diego, Ca
- P••••••• F•••••••• S•••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••left Dec 20, 2021, registered Dec 20, 2021 (0 days) · RIA to affiliated broker-dealer or bank
- O•••• F•• I••• to P••••••• F•••••••• S•••••••• I•••left Mar 15, 2017, registered Apr 12, 2018 (393 days) · Other
- L•• F•••••••• L•• to O•••• F•• I•••left Feb 3, 2011, registered May 17, 2011 (103 days) · Other
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left Dec 19, 2005, registered Feb 27, 2006 (70 days) · Other
- C••• F•••••••• S•••••••• L••• to W•••• F•••• I••••••••• L••left Jul 31, 2003, registered Dec 19, 2003 (141 days) · Other
- M••••• S•••••• D• I••• to C••• F•••••••• S•••••••• L•••left Jun 27, 2002, registered Jun 19, 2002 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address