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••• M•••••• A•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 2, 2019 · Carlsbad, Ca
- M••••• S•••••• wirehouseNov 7, 2014 to Apr 1, 2019 · Carlsbad, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 2, 2010 to Nov 17, 2014 · La Jolla, Ca
- W•••• F•••• A••••••• wirehouseApr 26, 2007 to Jun 3, 2010 · La Mesa, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 12, 2007 to Apr 24, 2007 · Solana Beach, Ca
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 1, 2019, registered Apr 2, 2019 (1 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 17, 2014, registered Nov 7, 2014 (-10 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jun 3, 2010, registered Jun 2, 2010 (-1 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Apr 24, 2007, registered Apr 26, 2007 (2 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address