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.
B•••• C•••••• B•••
- C••••••• I••••••••• A•••••••• L•• state registered currentsince Mar 30, 2016 · Carlsbad, Ca
- F•••••••• G••••••• G••••• I••• independent RIAMay 27, 2015 to Mar 17, 2016 · C•••••••, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 16, 2012 to Mar 19, 2014 · San Diego, Ca
- O••••••••• S••••••••• I••• BD affiliatedSep 3, 2010 to May 17, 2012 · Indianapolis, In
- A••••••••• F•••••••• S•••••••• L•• national BDAug 8, 2006 to Jul 30, 2010 · San Diego, Ca
- F•••••••• G••••••• G••••• I••• to C••••••• I••••••••• A•••••••• L••left Mar 17, 2016, registered Mar 30, 2016 (13 days) · Other
- U••• B•••••• A•••••••• L•• to F•••••••• G••••••• G••••• I•••left Mar 19, 2014, registered May 27, 2015 (434 days) · Other
- O••••••••• S••••••••• I••• to U••• B•••••• A•••••••• L••left May 17, 2012, registered May 16, 2012 (-1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Jul 30, 2010, registered Sep 3, 2010 (35 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address