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.
F••••• A•••••• M•••••
- O•••• I••••••••• I••• BD affiliated currentsince Jan 19, 2017 · Chula Vista, Ca
- F•••• B•••••••• A••••••• L••••• unclassifiedJun 28, 2016 to Jan 27, 2017 · Chula Vista, Ca
- I•••••• S••••••••• I••• mixed wealthMay 8, 2014 to Jun 24, 2016 · Chula Vista, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 9, 2014 · Chula Vista, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 12, 2011 to Oct 1, 2012 · Chula Vista, Ca
- H••• S••••••••• •••• I••• BD affiliatedApr 15, 2010 to Apr 19, 2011 · Chula Vista, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 4, 2003 to Apr 7, 2010 · San Diego, Ca
- F•••• B•••••••• A••••••• L••••• to O•••• I••••••••• I•••left Jan 27, 2017, registered Jan 19, 2017 (-8 days) · Other · moved with a team
- I•••••• S••••••••• I••• to F•••• B•••••••• A••••••• L•••••left Jun 24, 2016, registered Jun 28, 2016 (4 days) · Other
- J••• M••••• S••••••••• L•• to I•••••• S••••••••• I•••left May 9, 2014, registered May 8, 2014 (-1 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
- H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••left Apr 19, 2011, registered May 12, 2011 (23 days) · Other
- W•••• F•••• I••••••••• L•• to H••• S••••••••• •••• I•••left Apr 7, 2010, registered Apr 15, 2010 (8 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address