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.
L•••• V•••••• M•••
- M• H••••••• S••••••••• I••• BD affiliated currentsince Aug 13, 2021 · Portland, Or
- C••••••••• F•••••••• N•••••• national BDApr 5, 2012 to Jul 26, 2021 · San Diego, Ca
- F•••• A••••• S••••••••• I••• formerOct 4, 2010 to Apr 2, 2012 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMay 14, 2007 to Sep 30, 2009 · San Diego, Ca
- C••••••••• F•••••••• N•••••• to M• H••••••• S••••••••• I•••left Jul 26, 2021, registered Aug 13, 2021 (18 days) · Affiliated broker-dealer or bank to another
- F•••• A••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Apr 2, 2012, registered Apr 5, 2012 (3 days) · Other
- L•• F•••••••• L•• to F•••• A••••• S••••••••• I•••left Sep 30, 2009, registered Oct 4, 2010 (369 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address