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•••• D•••• R•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 11, 2019 · Carlsbad, Ca
- T• A••••••••• I••• formerSep 8, 2016 to Dec 26, 2018 · Roseville, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 8, 2016 to Dec 26, 2018 · Roseville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 2, 2015 to Sep 2, 2016 · San Diego, Ca
- R•• S••••••••• I••• BD affiliatedJun 18, 2015 to Sep 15, 2015 · San Diego, Ca
- S•••••••• A••••••• L•• national BDApr 3, 2012 to Jun 4, 2015 · San Diego, Ca
- C••••••• S••••••••• formerMar 22, 2011 to Mar 16, 2012 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Dec 26, 2018, registered Jan 11, 2019 (16 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 26, 2018, registered Sep 8, 2016 (-839 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Sep 2, 2016, registered Sep 8, 2016 (6 days) · Other
- R•• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 15, 2015, registered Dec 2, 2015 (78 days) · Other
- S•••••••• A••••••• L•• to R•• S••••••••• I•••left Jun 4, 2015, registered Jun 18, 2015 (14 days) · Other
- C••••••• S••••••••• to S•••••••• A••••••• L••left Mar 16, 2012, registered Apr 3, 2012 (18 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address