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.
T•••••••• C•••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Sep 30, 2021 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 25, 2017 to Aug 10, 2021 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMar 1, 2017 to Sep 25, 2017 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Feb 28, 2017 · San Diego, Ca
- C••••• I••••••••• S••••••• L•• formerOct 10, 2006 to Jan 21, 2014 · San Diego, Ca
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 14, 2004 to Oct 6, 2006 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• to A••••••• F•••••••• A•••••••• L••left Aug 10, 2021, registered Sep 30, 2021 (51 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 25, 2017, registered Sep 25, 2017 (0 days) · Other · moved with a team
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Feb 28, 2017, registered Mar 1, 2017 (1 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to C••••• I••••••••• S••••••• L••left Oct 6, 2006, registered Oct 10, 2006 (4 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address