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•••• A••••• B••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 28, 2022 · Vista, Ca
- T••• I••••••••• A•••••••• L•• independent RIAJan 5, 2021 to Feb 8, 2022 · Oceanside, Ca
- E••••• J•••• national BDJul 11, 2016 to Jan 4, 2021 · Vista, Ca
- W•••••• • R••• formerFeb 13, 2006 to Jun 2, 2016 · Overland Park, Ks
- T••• I••••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Feb 8, 2022, registered Jan 28, 2022 (-11 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to T••• I••••••••• A•••••••• L••left Jan 4, 2021, registered Jan 5, 2021 (1 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• • R••• to E••••• J••••left Jun 2, 2016, registered Jul 11, 2016 (39 days) · Other
- D•••• A••••• B•••••• left T••• I••••••••• A•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-01-28)Feb 8, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address