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.
D••• B•••••• K•••••
- W••••• C•••• F•••••••• independent RIA currentsince Jul 28, 2022 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJul 19, 2016 to Dec 21, 2016 · San Diego, Ca
- G•••• W••••• M••••••••• L•• formerFeb 13, 2014 to May 20, 2016 · San Diego, Ca
- S•••••• P•••••• A••••••• L•• formerOct 2, 2007 to Dec 9, 2008 · Kirkland, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 1, 2003 to Oct 8, 2007 · Rancho Bernardo, Ca
- A••••••••• F•••••••• S•••••••• L•• to W••••• C•••• F••••••••left Dec 21, 2016, registered Jul 28, 2022 (2045 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- G•••• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 20, 2016, registered Jul 19, 2016 (60 days) · Other
- S•••••• P•••••• A••••••• L•• to G•••• W••••• M••••••••• L••left Dec 9, 2008, registered Feb 13, 2014 (1892 days) · Other
- C•••••••• G••••• M•••••• I••• to S•••••• P•••••• A••••••• L••left Oct 8, 2007, registered Oct 2, 2007 (-6 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