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••••• C•••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2016 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerOct 9, 2012 to Oct 6, 2016 · San Diego, Ca
- F•••• F•••••••• G••••• I••• formerApr 25, 2012 to Sep 5, 2012 · San Diego, Ca
- M••• S••••••••• C••••••••• unclassifiedDec 2, 2003 to Dec 31, 2003 · San Marcos, Ca
- T•••••• S••••••••• A••••••• C•••• unclassifiedSep 20, 2002 to Dec 2, 2003 · San Marcos, Ca
- E•••••••• A•••••••• L•• national BDNov 21, 2000 to Aug 20, 2002 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 6, 2016, registered Nov 29, 2016 (54 days) · Other
- F•••• F•••••••• G••••• I••• to M•• F•••••••• S•••••••• I•••left Sep 5, 2012, registered Oct 9, 2012 (34 days) · Other
- M••• S••••••••• C••••••••• to F•••• F•••••••• G••••• I•••left Dec 31, 2003, registered Apr 25, 2012 (3038 days) · Other
- T•••••• S••••••••• A••••••• C•••• to M••• S••••••••• C•••••••••left Dec 2, 2003, registered Dec 2, 2003 (0 days) · Other
- E•••••••• A•••••••• L•• to T•••••• S••••••••• A••••••• C••••left Aug 20, 2002, registered Sep 20, 2002 (31 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address