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.
M•••••• W•••••• M•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 19, 2012 · Roseville, Ca
- E•••• N••••••• S••••••••• I••• formerJul 19, 2011 to Jan 25, 2012 · Santa Rosa, Ca
- C•••• I••••••••• S••••••• C•••• formerMar 7, 2011 to Jul 6, 2011 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedDec 15, 2010 to Mar 8, 2011 · Chula Vista, Ca
- E•••• N••••••• S••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 25, 2012, registered Jan 19, 2012 (-6 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••• N••••••• S••••••••• I•••left Jul 6, 2011, registered Jul 19, 2011 (13 days) · Other
- L•• F•••••••• L•• to C•••• I••••••••• S••••••• C••••left Mar 8, 2011, registered Mar 7, 2011 (-1 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address