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••••• L•••• M••••
- S•••••••• I••••• A••••••• state registered currentsince May 20, 2014 · Escondido, Ca
- C•••••••• F••••••••• I••• BD affiliatedMar 10, 2003 to Dec 31, 2009 · Escondido, Ca
- S••••• S••••••••• C••••••••• unclassifiedNov 30, 1998 to Sep 12, 2002 · Carlsbad, Ca
- C•••••••• F••••••••• I••• to S•••••••• I••••• A•••••••left Dec 31, 2009, registered May 20, 2014 (1601 days) · Other
- S••••• S••••••••• C••••••••• to C•••••••• F••••••••• I•••left Sep 12, 2002, registered Mar 10, 2003 (179 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
- STATE REGISTEREDderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address