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.
A••• P•••••• L••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 4, 2019 · Phoenix, Az
- F•• S••••••••• C••••••••• formerJul 27, 2012 to Oct 10, 2019 · Milton, Ga
- Q•••••• A•••• M••••••••• I••• formerFeb 16, 2012 to Jul 28, 2012 · Minneapolis, Mn
- S••••• P•••••••• M••••••••• I•• formerOct 31, 2011 to Mar 1, 2012 · San Clemente, Ca
- S••••• M•••• M••••••••• I••• independent RIAMar 15, 2010 to Mar 1, 2012 · San Clemente, Ca
- S••••• P•••••••• M••••••••• I•• formerOct 27, 2009 to Mar 31, 2010 · San Clemente, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 19, 2008 to Oct 6, 2009 · Irvine, Ca
- E••••• J•••• national BDFeb 20, 2007 to Feb 20, 2008 · Laguna Niguel, Ca
- F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 10, 2019, registered Oct 4, 2019 (-6 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to F•• S••••••••• C•••••••••left Jul 28, 2012, registered Jul 27, 2012 (-1 days) · Other
- S••••• M•••• M••••••••• I••• to S••••• P•••••••• M••••••••• I••left Mar 1, 2012, registered Oct 31, 2011 (-122 days) · Other
- S••••• P•••••••• M••••••••• I•• to Q•••••• A•••• M••••••••• I•••left Mar 1, 2012, registered Feb 16, 2012 (-14 days) · Other
- S••••• P•••••••• M••••••••• I•• to S••••• M•••• M••••••••• I•••left Mar 31, 2010, registered Mar 15, 2010 (-16 days) · Other
- U•• F•••••••• S••••••• I••• to S••••• P•••••••• M••••••••• I••left Oct 6, 2009, registered Oct 27, 2009 (21 days) · Other
- E••••• J•••• to U•• F•••••••• S••••••• I•••left Feb 20, 2008, registered Feb 19, 2008 (-1 days) · Affiliated broker-dealer or bank to wirehouse
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