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•••••• D••••• P••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 9, 2018 · Loma Linda, Ca
- S•••••••• I••••••••• M••••••••• formerSep 28, 2016 to Mar 9, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 24, 2006 to Jan 25, 2010 · Rancho Cucamonga, Ca
- T• A••••••••• I••• formerDec 9, 2003 to Jan 25, 2010 · Upland, Ca
- S•••••••• I••••••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 9, 2018, registered Nov 9, 2018 (245 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Jan 25, 2010, registered Sep 28, 2016 (2438 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 25, 2010, registered Apr 24, 2006 (-1372 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address