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.
J•••••• S•••• S••••
- C•••••• F••••••••• L•• state registered currentsince Jan 28, 2011 · Prosperity, Sc
- C•••••• F••••••••• L•• state registeredFeb 18, 2010 to Dec 31, 2010 · Prosperity, Sc
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 2, 2006 to Oct 28, 2009 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 10, 2006 to Feb 24, 2006 · Escondido, Ca
- V••• F•••••••• A•••••••• I••• to C•••••• F••••••••• L••left Oct 28, 2009, registered Feb 18, 2010 (113 days) · Other
- M•• I•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Feb 24, 2006, registered Mar 2, 2006 (6 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address