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.
T••••• F•••
- G••••• S•••• W••••• M••••••••• L•• i••••••••• wealth currentsince Sep 4, 2018 · Powell, Wy
- I••••••••• F•••••••• P••••••• BD affiliatedApr 23, 2012 to Sep 5, 2018 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 30, 2012 · San Diego, Ca
- M••••• S•••••• • C•• L•• unclassifiedNov 12, 2008 to Jun 1, 2009 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 21, 2006 to Nov 10, 2008 · La Jolla, Ca
- I••••••••• F•••••••• P••••••• to G••••• S•••• W••••• M••••••••• L••left Sep 5, 2018, registered Sep 4, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• S•••••• to I••••••••• F•••••••• P•••••••left Apr 30, 2012, registered Apr 23, 2012 (-7 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Nov 10, 2008, registered Nov 12, 2008 (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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address