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.
R•••••• E••••• N••••
- N•••• • D•••• W••••• M••••••••• independent RIA currentsince Apr 20, 2020 · La Jolla, Ca
- A•••••••• C•••••• L•• independent RIASep 30, 2019 to May 29, 2020 · San Diego, Ca
- N•••• • D•••• W••••• M••••••••• independent RIANov 9, 2009 to Dec 6, 2019 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 13, 2004 to Oct 28, 2009 · San Diego, Ca
- A•••••••• C•••••• L•• to N•••• • D•••• W••••• M•••••••••left May 29, 2020, registered Apr 20, 2020 (-39 days) · RIA to a newly registered adviser · moved with a team
- N•••• • D•••• W••••• M••••••••• to A•••••••• C•••••• L••left Dec 6, 2019, registered Sep 30, 2019 (-67 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to N•••• • D•••• W••••• M•••••••••left Oct 28, 2009, registered Nov 9, 2009 (12 days) · Affiliated broker-dealer or bank to a newly registered adviser
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