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.
C•••• A••• B••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Oct 2, 2024 · Manhattan Bch, Ca
- D•••• C•••••• G••••• L•• formerDec 10, 2012 to Sep 20, 2019 · Avila Beach, Ca
- W•••• F•••• A••••••• wirehouseMar 23, 2009 to Nov 15, 2012 · San Luis Obispo, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 25, 2008 to Apr 2, 2009 · Carmel, Ca
- D•••• C•••••• G••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Sep 20, 2019, registered Oct 2, 2024 (1839 days) · Other
- W•••• F•••• A••••••• to D•••• C•••••• G••••• L••left Nov 15, 2012, registered Dec 10, 2012 (25 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 2, 2009, registered Mar 23, 2009 (-10 days) · Wirehouse to wirehouse
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
- No RAUM reportedderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address