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.
M••• J•••••• M••••
- A••••••• M•••• M••••••••• L•• independent RIA currentsince May 14, 2019 · Rancho Santa Fe, Ca
- H••••• I••••••••• M••••••••• L•• independent RIAMar 27, 2013 to May 9, 2019 · Brawley, Ca
- W•• A•••••••• L• formerMar 6, 2013 to Feb 2, 2015 · Imperial, Ca
- H••••• I••••••••• M••••••••• L•• independent RIADec 15, 2011 to Feb 27, 2013 · Brawley, Ca
- W•• A•••••••• L• formerNov 2, 2009 to Dec 7, 2011 · Imperial, Ca
- W•••••• S••••••••• C••••••••• unclassifiedOct 5, 2009 to Oct 20, 2009 · Eden Prairie, Mn
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 8, 2003 to Jul 27, 2009 · San Diego, Ca
- H••••• I••••••••• M••••••••• L•• to A••••••• M•••• M••••••••• L••left May 9, 2019, registered May 14, 2019 (5 days) · RIA to RIA
- W•• A•••••••• L• to H••••• I••••••••• M••••••••• L••left Feb 2, 2015, registered Mar 27, 2013 (-677 days) · Other
- H••••• I••••••••• M••••••••• L•• to W•• A•••••••• L•left Feb 27, 2013, registered Mar 6, 2013 (7 days) · Other
- W•• A•••••••• L• to H••••• I••••••••• M••••••••• L••left Dec 7, 2011, registered Dec 15, 2011 (8 days) · Other
- W•••••• S••••••••• C••••••••• to W•• A•••••••• L•left Oct 20, 2009, registered Nov 2, 2009 (13 days) · Other
- V•••• F•••••••• A•••••••• I••• to W•••••• S••••••••• C•••••••••left Jul 27, 2009, registered Oct 5, 2009 (70 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