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.
N•••• J••• T•••••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Jul 2, 2014 · Austin, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 7, 2014 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 29, 2007 to Jan 3, 2011 · Encinitas, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jul 17, 2007 · Vista, Ca
- C••••••• I••••••••• S••••••• unclassifiedApr 28, 2004 to May 29, 2007 · Vista, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 30, 2004 to Apr 14, 2004 · Poway, Ca
- C••••••• I••••••••• S••••••• unclassifiedDec 15, 2003 to Apr 1, 2004 · Long Island City, Ny
- W•••• F•••• A••••••• to K••••• P•••••• W••••• S•••••••• L••left Jul 7, 2014, registered Jul 2, 2014 (-5 days) · Other
- 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•••••••• G••••• M•••••• I••• to W•••• F•••• I••••••••• L••left Jul 17, 2007, registered Jun 29, 2007 (-18 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Apr 14, 2004, registered Apr 28, 2004 (14 days) · Other
- C••••••• I••••••••• S••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 1, 2004, registered Mar 30, 2004 (-2 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