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.
J••• S••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 28, 2009 · Santa Barbara, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 10, 2006 to May 15, 2009 · Santa Barbara, Ca
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 2, 2005 to Jul 31, 2006 · Port Hueneme, Ca
- F•••• C•••••• B••• unclassifiedJan 4, 2005 to Sep 2, 2005 · Fort Worth, Tx
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 15, 2009, registered May 28, 2009 (13 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to C•••••••• G••••• M•••••• I•••left Jul 31, 2006, registered Aug 10, 2006 (10 days) · Other
- F•••• C•••••• B••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 2, 2005, registered Sep 2, 2005 (0 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address