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••••• F•••••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 26, 2020 · Melbourne Beach, Fl
- U••• B•••••• A•••••••• L•• BD affiliatedNov 4, 2005 to Jul 9, 2020 · San Diego, Ca
- D••••• independent RIAAug 11, 2005 to Oct 10, 2005 · San Diego, Ca
- U••• B•••••• A•••••••• L•• to L•• F•••••••• L••left Jul 9, 2020, registered Jun 26, 2020 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
- D••••• to U••• B•••••• A•••••••• L••left Oct 10, 2005, registered Nov 4, 2005 (25 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address