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.
L•••••• M• P••••
- M••••• S•••••• wirehouse currentsince Feb 23, 2023 · San Luis Obispo, Ca
- C••••• A••••••• L•• formerNov 1, 2022 to Dec 31, 2022 · San Luis Obispo, Ca
- M••••• S•••••• wirehouseJun 29, 2022 to Nov 14, 2022 · San Luis Obispo, Ca
- C••••• A••••••• L•• to M••••• S••••••left Dec 31, 2022, registered Feb 23, 2023 (54 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to C••••• A••••••• L••left Nov 14, 2022, registered Nov 1, 2022 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- L•••••• M• P•••• left C••••• A••••••• L•• for M••••• S•••••• (registered 2023-02-23)Dec 31, 2022 · Advisor changed firm · fact
- L•••••• M• P•••• left M••••• S•••••• for C••••• A••••••• L•• (registered 2022-11-01)Nov 14, 2022 · Advisor changed firm · fact
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address