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.
S••••• M• S•••••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince May 28, 2020 · San Luis Obispo, Ca
- T•• T••• G•••• unclassifiedJul 9, 2013 to Nov 15, 2017 · San Luis Obispo, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Sep 20, 2017 · San Luis Obispo, Ca
- F•••• A••••• S••••••••• I••• formerDec 5, 2011 to Jul 2, 2012 · Grover Beach, Ca
- T•• T••• G•••• to I••••••••• F•••••••• G••••• L••left Nov 15, 2017, registered May 28, 2020 (925 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to T•• T••• G••••left Sep 20, 2017, registered Jul 9, 2013 (-1534 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address