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.
W•••••••• R•••••
- C•••••• S••••• • C••• I••• national BD currentsince Oct 21, 2021 · Lynnwood, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 11, 2016 to Feb 22, 2020 · Pasadena, Ca
- T• A••••••••• I••• formerAug 11, 2016 to Feb 22, 2020 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 17, 2015 to Aug 4, 2016 · Anaheim, Ca
- S•••••••• C•••••• G•••• L••••• formerDec 1, 2010 to Oct 3, 2013 · Gig Harbor, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 24, 2006 to Jul 9, 2009 · San Diego, Ca
- T• A••••••••• I••• formerOct 2, 2003 to Jul 9, 2009 · Long Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 22, 2020, registered Aug 11, 2016 (-1290 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Feb 22, 2020, registered Oct 21, 2021 (607 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 4, 2016, registered Aug 11, 2016 (7 days) · Other
- S•••••••• C•••••• G•••• L••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 3, 2013, registered Jun 17, 2015 (622 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• C•••••• G•••• L•••••left Jul 9, 2009, registered Dec 1, 2010 (510 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 9, 2009, registered Apr 24, 2006 (-1172 days) · channel change inside one enterprise, 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address