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.
C••••••••• L•• A•••••
- L•• F•••••••• L•• BD affiliated currentsince May 8, 2019 · La Jolla, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 10, 2019 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 6, 2009 to Jan 3, 2011 · National City, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Nov 9, 2009 · Imperial Beach, Ca
- W••• I••••••••• I••• unclassifiedNov 7, 2002 to May 2, 2009 · Spring Valley, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 4, 2002 to Oct 29, 2002 · San Diego, Ca
- W•••• F•••• A••••••• to L•• F•••••••• L••left May 10, 2019, registered May 8, 2019 (-2 days) · Wirehouse to independent RIA · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Nov 9, 2009, registered Nov 6, 2009 (-3 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W••• I••••••••• I•••left Oct 29, 2002, registered Nov 7, 2002 (9 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address