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.
D•••• M•••••• M••••••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Oct 1, 2019 · Carlsbad, Ca
- P••• A••••• S••••••••• L•• BD affiliatedDec 17, 2018 to Jun 12, 2019 · Santa Monica, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 8, 2018 to Dec 5, 2018 · Santa Monica, Ca
- P••• A••••• S••••••••• L•• BD affiliatedApr 22, 2016 to Mar 30, 2018 · La Jolla, Ca
- E•••••••• A•••••••• L•• national BDJul 6, 2012 to Apr 20, 2016 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 5, 2011 to Jun 22, 2012 · La Jolla, Ca
- F••••••• S••••••••• I••• formerJan 12, 2010 to Jul 19, 2011 · Santa Cruz, Ca
- F••••••• S••••••••• I••• formerOct 27, 2009 to Dec 3, 2009 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 6, 2005 to Mar 18, 2008 · La Jolla, Ca
- P••• A••••• S••••••••• L•• to O••••••••• S••••••••• I•••left Jun 12, 2019, registered Oct 1, 2019 (111 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Dec 5, 2018, registered Dec 17, 2018 (12 days) · Affiliated broker-dealer or bank to another · moved with a team
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 30, 2018, registered May 8, 2018 (39 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Apr 20, 2016, registered Apr 22, 2016 (2 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Jun 22, 2012, registered Jul 6, 2012 (14 days) · Other
- F••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Jul 19, 2011, registered Aug 5, 2011 (17 days) · Other
- M•• I•••••••• S•••••••• L•• to F••••••• S••••••••• I•••left Mar 18, 2008, registered Oct 27, 2009 (588 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address