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•••• W•••••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 6, 2022 · Laguna Niguel, Ca
- C••••••••• F•••••••• N•••••• national BDMay 22, 2018 to Dec 13, 2022 · Laguna Niguel, Ca
- N•••••••• B••••• B• L•• no RAUMOct 1, 2015 to May 23, 2018 · Laguna Niguel, Ca
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• formerMay 22, 2012 to Sep 29, 2015 · Boston, Ma
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 7, 2012 · San Luis Obispo, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 13, 2009 to Jun 1, 2009 · San Luis Obispo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 28, 2003 to Apr 22, 2009 · San Luis Obispo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 22, 2002 to Nov 25, 2003 · San Luis Obispo, Ca
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Dec 13, 2022, registered Dec 6, 2022 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- N•••••••• B••••• B• L•• to C••••••••• F•••••••• N••••••left May 23, 2018, registered May 22, 2018 (-1 days) · Other
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• to N•••••••• B••••• B• L••left Sep 29, 2015, registered Oct 1, 2015 (2 days) · Other · moved with a team
- M••••• S•••••• to A••••• P•••••• I••••••••• A•••• M••••••••• I•••left Mar 7, 2012, registered May 22, 2012 (76 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to M••••• S•••••• • C•• L••left Apr 22, 2009, registered Apr 13, 2009 (-9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Nov 25, 2003, registered Nov 28, 2003 (3 days) · Other
- S•••• W•••••• H••••• left C••••••••• F•••••••• N•••••• for L•• F•••••••• L•• (registered 2022-12-06)Dec 13, 2022 · Advisor changed firm · fact
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