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••• J•••• T•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 7, 2023 · San Diego, Ca
- C•••••• I••••••••• A•••••••• L•• independent RIAFeb 9, 2017 to Jun 27, 2018 · Atlanta, Ga
- A••••••• F•••• formerMay 11, 2007 to Dec 20, 2011 · La Jolla, Ca
- P•••• S••••••••• L•• no RAUMNov 3, 2000 to Mar 11, 2005 · San Diego, Ca
- C•••••• I••••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Jun 27, 2018, registered Feb 7, 2023 (1686 days) · RIA to wirehouse
- A••••••• F•••• to C•••••• I••••••••• A•••••••• L••left Dec 20, 2011, registered Feb 9, 2017 (1878 days) · Other
- P•••• S••••••••• L•• to A••••••• F••••left Mar 11, 2005, registered May 11, 2007 (791 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address