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.
A••••• P••••• B•••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 15, 2023 · San Diego, Ca
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Jan 4, 2023 · San Diego, Ca
- T• A••••••••• I••• formerFeb 15, 2018 to Oct 14, 2022 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 15, 2018 to Sep 7, 2023 · San Diego, Ca
- S•••••••• I••••••••• M••••••••• formerMay 16, 2017 to Feb 15, 2018 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 15, 2015 to Feb 8, 2017 · El Cajon, Ca
- M••••• S•••••• wirehouseSep 23, 2013 to Dec 9, 2014 · Carlsbad, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 22, 2010 · Carlsbad, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 14, 2008 to Jun 1, 2009 · Carlsbad, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Feb 15, 2018 (-1702 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Feb 15, 2018, registered Feb 15, 2018 (0 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Feb 8, 2017, registered May 16, 2017 (97 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 9, 2014, registered Jan 15, 2015 (37 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address