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•••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 17, 2019 · San Diego, Ca
- S••••••• P•••••• F••••••••• L•• formerSep 6, 2012 to Oct 1, 2019 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerMar 21, 2006 to Oct 1, 2019 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMar 8, 2005 to Mar 21, 2006 · San Diego, Ca
- T• A••••••••• I••• formerJun 16, 2003 to Mar 1, 2005 · La Jolla, Ca
- S••••••• P•••••• F••••••••• L•• to C••••••••• F•••••••• N••••••left Oct 1, 2019, registered Oct 17, 2019 (16 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••left Oct 1, 2019, registered Sep 6, 2012 (-2581 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Mar 21, 2006, registered Mar 21, 2006 (0 days) · Other
- T• A••••••••• I••• to L•• F•••••••• L••left Mar 1, 2005, registered Mar 8, 2005 (7 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address