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•••••• BD affiliated currentsince Jan 17, 2025 · San Diego, Ca
- B••••• P••••• A•••••••• L•• independent RIAOct 28, 2022 to Dec 20, 2024 · Carlsbad, Ca
- M••• I••••••••• L•• unclassifiedJul 6, 2016 to Dec 7, 2017 · San Diego, Ca
- O•• C•••••• M••••••••• L•• independent RIAJun 23, 2014 to Jun 26, 2014 · Westlake Village, Ca
- B••••• P••••• A•••••••• L•• to M••••••left Dec 20, 2024, registered Jan 17, 2025 (28 days) · RIA to affiliated broker-dealer or bank
- M••• I••••••••• L•• to B••••• P••••• A•••••••• L••left Dec 7, 2017, registered Oct 28, 2022 (1786 days) · Other
- O•• C•••••• M••••••••• L•• to M••• I••••••••• L••left Jun 26, 2014, registered Jul 6, 2016 (741 days) · Other
- N••• B•••• left B••••• P••••• A•••••••• L•• for Mariner (registered 2025-01-17)Dec 20, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address