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••• R••••• R•••••
- D••• R••••• R••••••• L•• independent RIA currentsince Jan 17, 2012 · San Diego, Ca
- C•••••••• W••••• A••••••• unclassifiedAug 17, 2011 to Sep 14, 2012 · San Diego, Ca
- H••••••• A••••••••• I••• formerMar 29, 2004 to Aug 2, 2011 · Solana Beach, Ca
- C•••••••• W••••• A••••••• to D••• R••••• R••••••• L••left Sep 14, 2012, registered Jan 17, 2012 (-241 days) · Other
- H••••••• A••••••••• I••• to C•••••••• W••••• A•••••••left Aug 2, 2011, registered Aug 17, 2011 (15 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address