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.
M•••••• S•••• B••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Feb 3, 2021 · San Diego, Ca
- A•••• C•••• I••••••••• L•• formerJun 28, 2018 to Jan 10, 2020 · Costa Mesa, Ca
- S•••••••• A••••••• L•• national BDApr 11, 2007 to Jun 13, 2018 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 24, 2006 to Mar 1, 2007 · San Diego, Ca
- T• A••••••••• I••• formerNov 18, 2005 to Mar 1, 2007 · San Diego, Ca
- A•••• C•••• I••••••••• L•• to B••••• P••••• A•••••••• L••left Jan 10, 2020, registered Feb 3, 2021 (390 days) · RIA to RIA
- S•••••••• A••••••• L•• to A•••• C•••• I••••••••• L••left Jun 13, 2018, registered Jun 28, 2018 (15 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 1, 2007, registered Apr 24, 2006 (-311 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left Mar 1, 2007, registered Apr 11, 2007 (41 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address