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.
S••••• R•• P••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMar 17, 2011 to Nov 20, 2015 · San Diego, Ca
- M••••• S•••••• wirehouseMar 12, 2010 to Mar 18, 2011 · Beverly Hills, Ca
- W••• I••••••••• I••• unclassifiedApr 9, 2008 to Oct 23, 2008 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseFeb 15, 2005 to Apr 7, 2008 · Bellingham, Wa
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 20, 2015, registered Jun 29, 2023 (2778 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Mar 18, 2011, registered Mar 17, 2011 (-1 days) · Other
- W••• I••••••••• I••• to M••••• S••••••left Oct 23, 2008, registered Mar 12, 2010 (505 days) · Other
- W•••• F•••• A••••••• to W••• I••••••••• I•••left Apr 7, 2008, registered Apr 9, 2008 (2 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