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.
N•••• P•••••••••
- N•••• P••••••••• • F••••••• F•••••••• G•••• state registered currentsince Jun 18, 2013 · Eugene, Or
- L••••••• C•••••• unclassifiedAug 3, 2012 to Oct 3, 2012 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 2, 2009 to Jun 4, 2012 · La Mesa, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 31, 2008 to Jan 2, 2009 · La Jolla, Ca
- L••••••• C•••••• to N•••• P••••••••• • F••••••• F•••••••• G••••left Oct 3, 2012, registered Jun 18, 2013 (258 days) · Other
- M•• I•••••••• S•••••••• L•• to L••••••• C••••••left Jun 4, 2012, registered Aug 3, 2012 (60 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Jan 2, 2009, registered Feb 2, 2009 (31 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address