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••• C••••• M•••••
- S•••••• C•••••• A••••••• L•• BD affiliated currentsince Feb 24, 2016 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2011 to Mar 9, 2016 · San Diego, Ca
- C•••• I••••••••• S••••••• C•••• formerNov 10, 2009 to Apr 22, 2010 · San Diego, Ca
- U•• I••••••••• I••• unclassifiedJun 19, 2006 to Sep 24, 2008 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 16, 2005 to Jun 21, 2006 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• C•••••• A••••••• L••left Mar 9, 2016, registered Feb 24, 2016 (-14 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 22, 2010, registered Jan 5, 2011 (258 days) · Other
- U•• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left Sep 24, 2008, registered Nov 10, 2009 (412 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•• I••••••••• I•••left Jun 21, 2006, registered Jun 19, 2006 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address