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.
R•••••• D••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 28, 2014 · San Diego, Ca
- W•••••• • R••• formerJul 23, 2012 to Aug 13, 2014 · Riverside, Ca
- U•••••• W••••• M••••••••• L•• formerJun 30, 2009 to Jul 24, 2012 · Scottsdale, Az
- T•• P••••••• G•••• formerSep 26, 2008 to Dec 9, 2008 · Scottsdale, Az
- V••••••• A•••••••• I••• BD affiliatedSep 28, 2006 to Nov 12, 2008 · Scottsdale, Az
- W•••••• • R••• to L•• F•••••••• L••left Aug 13, 2014, registered Aug 28, 2014 (15 days) · Other
- U•••••• W••••• M••••••••• L•• to W•••••• • R•••left Jul 24, 2012, registered Jul 23, 2012 (-1 days) · Other
- T•• P••••••• G•••• to U•••••• W••••• M••••••••• L••left Dec 9, 2008, registered Jun 30, 2009 (203 days) · Other
- V••••••• A•••••••• I••• to T•• P••••••• G••••left Nov 12, 2008, registered Sep 26, 2008 (-47 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