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•••••
- N••••••• A••••••• L•• independent RIA currentsince Jan 1, 2025 · La Jolla, Ca
- N•• E•••••• S••••••••• C••••••••• formerMar 2, 2005 to Sep 7, 2010 · San Diego, Ca
- C••••••• I••••••••• S••••••• unclassifiedOct 20, 2003 to Feb 16, 2005 · San Diego, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMay 4, 2000 to Feb 12, 2003 · La Jolla, Ca
- N•• E•••••• S••••••••• C••••••••• to N••••••• A••••••• L••left Sep 7, 2010, registered Jan 1, 2025 (5230 days) · Other
- C••••••• I••••••••• S••••••• to N•• E•••••• S••••••••• C•••••••••left Feb 16, 2005, registered Mar 2, 2005 (14 days) · Other
- P••••••••• E••••• G••••• L•• to C••••••• I••••••••• S•••••••left Feb 12, 2003, registered Oct 20, 2003 (250 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address