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••• T•••••• M•••••••
- D••••• W••••• independent RIA currentsince Aug 8, 2016 · Pasadena, Ca
- U••• F•••••••• P••••••• S••••••• formerSep 8, 2010 to Jul 29, 2016 · San Diego, Ca
- U••••• C•••••• F•••••••• A••••••• independent RIAOct 21, 2008 to Sep 30, 2010 · San Diego, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 4, 2006 to Jul 21, 2006 · Solana Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2004 to Aug 31, 2005 · San Diego, Ca
- U••• F•••••••• P••••••• S••••••• to D••••• W•••••left Jul 29, 2016, registered Aug 8, 2016 (10 days) · Other
- U••••• C•••••• F•••••••• A••••••• to U••• F•••••••• P••••••• S•••••••left Sep 30, 2010, registered Sep 8, 2010 (-22 days) · Other
- V••• F•••••••• A•••••••• I••• to U••••• C•••••• F•••••••• A•••••••left Jul 21, 2006, registered Oct 21, 2008 (823 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Aug 31, 2005, registered Apr 4, 2006 (216 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address