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.
N•••• V•••••• C••••••
- C•••••• • Q•••• W••••• A••••••• independent RIA currentsince Jun 16, 2021 · San Diego, Ca
- C••••• A•••••• N••••••• L•• formerJun 9, 2021 to Jun 10, 2021 · Braintree, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 13, 2007 to Jun 9, 2021 · Braintree, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDSep 6, 2004 to Oct 17, 2007 · San Diego, Ca
- C••••• A•••••• N••••••• L•• to C•••••• • Q•••• W••••• A•••••••left Jun 10, 2021, registered Jun 16, 2021 (6 days) · Affiliated broker-dealer or bank to a newly registered adviser
- V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Oct 17, 2007, registered Nov 13, 2007 (27 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address