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• L•••••
- R•• S••••••••• I••• BD affiliated currentsince Nov 7, 2019 · La Jolla, Ca
- C••••••• S••••••••• formerApr 23, 2010 to Oct 17, 2019 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 9, 2009 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 13, 2008 to Oct 23, 2009 · Carlsbad, Ca
- C••••••• S••••••••• to R•• S••••••••• I•••left Oct 17, 2019, registered Nov 7, 2019 (21 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S•••••••••left Dec 9, 2009, registered Apr 23, 2010 (135 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address