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•••••••• L•••
- A••••• F•••••••• independent RIA currentsince Sep 8, 2023 · Granite Bay, Ca
- T•• W••••• C••••••••• G•••• independent RIAApr 25, 2016 to Dec 6, 2023 · Granite Bay, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 10, 2007 to Dec 10, 2010 · La Jolla, Ca
- T•• W••••• C••••••••• G•••• to A••••• F••••••••left Dec 6, 2023, registered Sep 8, 2023 (-89 days) · RIA to a newly registered adviser
- U•• F•••••••• S••••••• I••• to T•• W••••• C••••••••• G••••left Dec 10, 2010, registered Apr 25, 2016 (1963 days) · Other
- D•••• A•••••••• L••• left T•• W••••• C••••••••• G•••• for A••••• F•••••••• (registered 2023-09-08)Dec 6, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address