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.
W•••••• C•••••• V••••••
- C••••• • A••••••••• I••• independent RIA currentsince Aug 15, 2013 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedMay 23, 2013 to Jun 28, 2013 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 26, 2013 · Chula Vista, Ca
- C•••• I••••••••• S••••••• C•••• formerDec 3, 2009 to Oct 1, 2012 · Chula Vista, Ca
- E•••••••• A•••••••• L•• national BDJun 16, 2008 to Dec 1, 2009 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• to C••••• • A••••••••• I•••left Jun 28, 2013, registered Aug 15, 2013 (48 days) · Other
- J••• M••••• S••••••••• L•• to I••••••••• F•••••••• G••••• L••left Apr 26, 2013, registered May 23, 2013 (27 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Dec 1, 2009, registered Dec 3, 2009 (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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address