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.
A••••• G•••••• A•••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jul 27, 2022 · Oceanside, Ca
- P••• A••••• S••••••••• L•• BD affiliatedOct 7, 2020 to Jul 18, 2022 · San Diego, Ca
- C•••••••• F••••••••• I••• BD affiliatedSep 2, 2011 to Oct 7, 2011 · West Hills, Ca
- E•••••• C•••••• M••••••••• L•• formerDec 1, 2008 to Oct 1, 2009 · Arlington, Va
- C••••••••• I••••••••• S•••••••• I••• unclassifiedApr 16, 2008 to Aug 12, 2008 · Santa Monica, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 26, 2005 to Aug 29, 2007 · Glendale, Ca
- P••• A••••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Jul 18, 2022, registered Jul 27, 2022 (9 days) · Affiliated broker-dealer or bank to another
- C•••••••• F••••••••• I••• to P••• A••••• S••••••••• L••left Oct 7, 2011, registered Oct 7, 2020 (3288 days) · Other
- E•••••• C•••••• M••••••••• L•• to C•••••••• F••••••••• I•••left Oct 1, 2009, registered Sep 2, 2011 (701 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to E•••••• C•••••• M••••••••• L••left Aug 12, 2008, registered Dec 1, 2008 (111 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• I••••••••• S•••••••• I•••left Aug 29, 2007, registered Apr 16, 2008 (231 days) · Other
- A••••• G•••••• A••••• left P••• A••••• S••••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2022-07-27)Jul 18, 2022 · 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