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.
C•••••• D•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 19, 2022 · Lufkin, Tx
- E••••• J•••• national BDDec 4, 2018 to Mar 14, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMay 1, 2013 to May 10, 2017 · San Diego, Ca
- F•••••••• T••••••• I••• formerNov 15, 2012 to Apr 12, 2013 · San Rafael, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 20, 2010 to Dec 10, 2010 · San Diego, Ca
- M••••• S•••••• wirehouseMar 8, 2010 to Jun 24, 2010 · Santa Barbara, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 2004 to Sep 11, 2009 · Greenwich, Ct
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 14, 2022, registered May 19, 2022 (66 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to E••••• J••••left May 10, 2017, registered Dec 4, 2018 (573 days) · Other · moved with a team
- F•••••••• T••••••• I••• to L•• F•••••••• L••left Apr 12, 2013, registered May 1, 2013 (19 days) · Other
- U•• F•••••••• S••••••• I••• to F•••••••• T••••••• I•••left Dec 10, 2010, registered Nov 15, 2012 (706 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jun 24, 2010, registered Jul 20, 2010 (26 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 11, 2009, registered Mar 8, 2010 (178 days) · Wirehouse to wirehouse
- C•••••• D••••• left E••••• J•••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-05-19)Mar 14, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address