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•••••• N••••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 23, 2024 · Poway, Ca
- C••••• W••••• independent RIAJan 18, 2019 to Nov 21, 2024 · La Jolla, Ca
- P••• F•••••••• A•••••••• L•• independent RIAFeb 18, 2010 to Jan 21, 2019 · San Diego, Ca
- F•••••••• D•••••• L••• unclassifiedMay 17, 2005 to Apr 2, 2013 · San Diego, Ca
- C••••• W••••• to L•• F•••••••• L••left Nov 21, 2024, registered Oct 23, 2024 (-29 days) · RIA to affiliated broker-dealer or bank
- P••• F•••••••• A•••••••• L•• to C••••• W•••••left Jan 21, 2019, registered Jan 18, 2019 (-3 days) · RIA to RIA
- F•••••••• D•••••• L••• to P••• F•••••••• A•••••••• L••left Apr 2, 2013, registered Feb 18, 2010 (-1139 days) · Other
- M•••••• N••••• B•••••• left C••••• W••••• for L•• F•••••••• L•• (registered 2024-10-23)Nov 21, 2024 · Advisor changed firm · fact
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