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.
A••• J••• D••••
- M••••• G••••• A••••••• I••• independent RIA currentsince Apr 27, 2021 · San Diego, Ca
- E•••••• A•• W•••• F•••••••• L•• formerFeb 27, 2020 to Jul 6, 2021 · San Diego, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 19, 2019 to Feb 20, 2020 · Poway, Ca
- C••• F•••••••• S•••••••• L••• formerNov 21, 2017 to Sep 18, 2019 · San Diego, Ca
- C••• B•••••••• S•••••••• I••• formerAug 12, 2011 to Nov 10, 2017 · Torrance, Ca
- S••••••• F•••••••• S•••••••• I••• formerDec 9, 2010 to Jul 19, 2011 · Newport Beach, Ca
- S•• I••••••••• I••• formerFeb 26, 2008 to Oct 15, 2010 · Long Beach, Ca
- E•••••• A•• W•••• F•••••••• L•• to M••••• G••••• A••••••• I•••left Jul 6, 2021, registered Apr 27, 2021 (-70 days) · RIA to RIA · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E•••••• A•• W•••• F•••••••• L••left Feb 20, 2020, registered Feb 27, 2020 (7 days) · Affiliated broker-dealer or bank to independent RIA
- C••• F•••••••• S•••••••• L••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 18, 2019, registered Sep 19, 2019 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Nov 10, 2017, registered Nov 21, 2017 (11 days) · Other
- S••••••• F•••••••• S•••••••• I••• to C••• B•••••••• S•••••••• I•••left Jul 19, 2011, registered Aug 12, 2011 (24 days) · Other
- S•• I••••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Oct 15, 2010, registered Dec 9, 2010 (55 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address