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•••• W•••••• F••••••
- R•• S••••••••• I••• BD affiliated currentsince Apr 14, 2023 · Irvine, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 22, 2012 to Mar 15, 2023 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseNov 3, 2010 to Jan 3, 2012 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 5, 2006 to Nov 4, 2010 · San Diego, Ca
- U••• B•••••• A•••••••• L•• to R•• S••••••••• I•••left Mar 15, 2023, registered Apr 14, 2023 (30 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Jan 3, 2012, registered Feb 22, 2012 (50 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Nov 4, 2010, registered Nov 3, 2010 (-1 days) · Other
- D•••• W•••••• F•••••• left U••• B•••••• A•••••••• L•• for R•• S••••••••• I••• (registered 2023-04-14)Mar 15, 2023 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address