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•••• A•••••
- C••••• F••••••••• I••••••••• A••••••• mixed wealth currentsince Mar 13, 2017 · New York, Ny
- E•••••••• M••••• A•••••••• L•• formerNov 30, 2012 to Mar 24, 2017 · La Jolla, Ca
- M••••• S•••••• wirehouseAug 2, 2011 to Nov 30, 2012 · San Diego, Ca
- F•• W••••• M••••••••• L•• unclassifiedApr 4, 2008 to Feb 23, 2010 · Naples, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDJul 16, 2007 to Dec 3, 2007 · Honolulu, Hi
- A••••••••• F•••••••• S•••••••• L•• national BDMar 20, 2006 to Mar 29, 2007 · Honolulu, Hi
- E•••••••• M••••• A•••••••• L•• to C••••• F••••••••• I••••••••• A•••••••left Mar 24, 2017, registered Mar 13, 2017 (-11 days) · Other · moved with a team
- M••••• S•••••• to E•••••••• M••••• A•••••••• L••left Nov 30, 2012, registered Nov 30, 2012 (0 days) · Other
- F•• W••••• M••••••••• L•• to M••••• S••••••left Feb 23, 2010, registered Aug 2, 2011 (525 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•• W••••• M••••••••• L••left Dec 3, 2007, registered Apr 4, 2008 (123 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address