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••••• S•••• H•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 28, 2015 · San Diego, Ca
- H•••••• S••••••••• I••• BD affiliatedDec 10, 2008 to Oct 23, 2015 · San Diego, Ca
- M••• S•••• • C••• L••• unclassifiedMay 24, 2004 to Dec 19, 2008 · San Diego, Ca
- H•••••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 23, 2015, registered Sep 28, 2015 (-25 days) · Other · moved with a team
- M••• S•••• • C••• L••• to H•••••• S••••••••• I•••left Dec 19, 2008, registered Dec 10, 2008 (-9 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address