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.
J• T•••••• D•••
- S••• C•••••• A•••••••• L•• mixed wealth currentsince Nov 17, 2011 · Sioux Falls, Sd
- D••••••• I••••••••• I••• independent RIAAug 8, 2008 to Dec 8, 2011 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 6, 2002 to Aug 22, 2008 · San Diego, Ca
- P••••••••• E••••• G••••• L•• unclassifiedDec 24, 1998 to Nov 12, 2002 · San Diego, Ca
- D••••••• I••••••••• I••• to S••• C•••••• A•••••••• L••left Dec 8, 2011, registered Nov 17, 2011 (-21 days) · Other
- U•• F•••••••• S••••••• I••• to D••••••• I••••••••• I•••left Aug 22, 2008, registered Aug 8, 2008 (-14 days) · Wirehouse to independent RIA
- P••••••••• E••••• G••••• L•• to U•• F•••••••• S••••••• I•••left Nov 12, 2002, registered Nov 6, 2002 (-6 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address