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.
- G••• F•••• L•• state registered currentsince Jan 1, 2025 · La Jolla, Ca
- M•••••• • S•••• formerJan 16, 2015 to Jan 28, 2019 · San Diego, Ca
- S••••••• I••••••••• P•••••••• L•• unclassifiedDec 9, 2008 to Jan 13, 2015 · San Diego, Ca
- M•••••• • S•••• to G••• F•••• L••left Jan 28, 2019, registered Jan 1, 2025 (2165 days) · RIA to a state-registered adviser
- S••••••• I••••••••• P•••••••• L•• to M•••••• • S••••left Jan 13, 2015, registered Jan 16, 2015 (3 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address