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•••••• L•• S•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Scottsdale, Az
- S••••••• F•••••••• S•••••••• I••• formerOct 31, 2019 to Aug 10, 2023 · San Diego, Ca
- C•• S••••••••• L•• formerOct 31, 2019 to Oct 19, 2021 · San Diego, Ca
- M••••••• A•••••••• I•• unclassifiedJun 29, 2005 to Dec 31, 2007 · Phoenix, Az
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Oct 19, 2021, registered Oct 31, 2019 (-719 days) · corporate re-registration, not a move
- M••••••• A•••••••• I•• to C•• S••••••••• L••left Dec 31, 2007, registered Oct 31, 2019 (4322 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