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•••••• A••••••••• K•••••••••
- C••••••••• F•••••••• N•••••• national BD currentsince May 12, 2021 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedMay 2, 2018 to Apr 23, 2021 · San Diego, Ca
- T•••• C•••••• M••••••••• I••• i••••••••• wealthDec 12, 2016 to May 3, 2018 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMay 18, 2006 to Aug 24, 2016 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Aug 8, 2005 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• to C••••••••• F•••••••• N••••••left Apr 23, 2021, registered May 12, 2021 (19 days) · Affiliated broker-dealer or bank to another
- T•••• C•••••• M••••••••• I••• to I••••••••• F•••••••• G••••• L••left May 3, 2018, registered May 2, 2018 (-1 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to T•••• C•••••• M••••••••• I•••left Aug 24, 2016, registered Dec 12, 2016 (110 days) · Other
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left Aug 8, 2005, registered May 18, 2006 (283 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address