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.
P•••••• W•••••• D••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 12, 2023 · San Diego, Ca
- C•••••••• F•••••••• G•••• A••••••• formerJan 6, 2023 to Jul 21, 2023 · San Diego, Ca
- C•••••••• F•••••••• G•••• A••••••• formerFeb 8, 2021 to Dec 31, 2022 · Birmingham, Al
- L•• F•••••••• L•• BD affiliatedMar 18, 2008 to Apr 15, 2015 · San Diego, Ca
- E•••••••• A•••••••• L•• national BDOct 25, 2006 to Dec 20, 2007 · Jacksonville, Fl
- C•••••••• F•••••••• G•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jul 21, 2023, registered Jul 12, 2023 (-9 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Apr 15, 2015, registered Feb 8, 2021 (2126 days) · Other
- E•••••••• A•••••••• L•• to L•• F•••••••• L••left Dec 20, 2007, registered Mar 18, 2008 (89 days) · Other
- P•••••• W•••••• D•••• left C•••••••• F•••••••• G•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-07-12)Jul 21, 2023 · 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
- 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