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.
A•••• M•••••• K••
- I••••••••• M••••••• G••••• L•• independent RIA currentsince Nov 27, 2012 · Temecula, Ca
- A••••••• M•••• M••••••••• L•• independent RIAMay 5, 2009 to Jan 6, 2011 · Rancho Santa Fe, Ca
- W•••• F•••• A••••••• wirehouseMay 19, 2008 to Jan 27, 2009 · Bermuda Dunes, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 18, 2002 to May 23, 2008 · Hemet, Ca
- A••••••• M•••• M••••••••• L•• to I••••••••• M••••••• G••••• L••left Jan 6, 2011, registered Nov 27, 2012 (691 days) · Other
- W•••• F•••• A••••••• to A••••••• M•••• M••••••••• L••left Jan 27, 2009, registered May 5, 2009 (98 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left May 23, 2008, registered May 19, 2008 (-4 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address