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.
J•••• A•••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 24, 2019 · Dana Point, Ca
- S•••••••• F••••••••• I••• formerNov 12, 2007 to Jul 30, 2019 · La Mesa, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 31, 2001 to Nov 15, 2007 · San Juan Capistrano, Ca
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jul 30, 2019, registered Jul 24, 2019 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- A• G• E•••••• • S•••• I••• to S•••••••• F••••••••• I•••left Nov 15, 2007, registered Nov 12, 2007 (-3 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