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.
D••••• C•••••• R•••••
- I••••••• F•••••••• S••••••• A••••••• independent RIA currentsince Jan 13, 2025 · Chula Vista, Ca
- J•••••• M••••••• W••••• M••••••••• L•• independent RIAJun 20, 2019 to Sep 28, 2020 · Chula Vista, Ca
- M••••• C•••••• S••••••••• I••• unclassifiedOct 28, 2004 to Feb 1, 2019 · Carlsbad, Ca
- S••••• S••••••••• C••••••••• unclassifiedOct 7, 1999 to Sep 15, 2004 · Carlsbad, Ca
- J•••••• M••••••• W••••• M••••••••• L•• to I••••••• F•••••••• S••••••• A•••••••left Sep 28, 2020, registered Jan 13, 2025 (1568 days) · RIA to RIA
- M••••• C•••••• S••••••••• I••• to J•••••• M••••••• W••••• M••••••••• L••left Feb 1, 2019, registered Jun 20, 2019 (139 days) · Other
- S••••• S••••••••• C••••••••• to M••••• C•••••• S••••••••• I•••left Sep 15, 2004, registered Oct 28, 2004 (43 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address