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••••••• E•••
- M•••• A•••• M••••••••• I••• independent RIA currentsince Mar 8, 2018 · San Diego, Ca
- S•••••• C•••••• A••••••• L•• BD affiliatedDec 4, 2015 to Sep 29, 2017 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2015 to Dec 7, 2015 · San Diego, Ca
- R•• C•••••• M••••••• L•• national BDNov 19, 2013 to May 4, 2015 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 27, 2013 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 28, 2009 to Jan 3, 2011 · San Diego, Ca
- S•••••• C•••••• A••••••• L•• to M•••• A•••• M••••••••• I•••left Sep 29, 2017, registered Mar 8, 2018 (160 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• C•••••• A••••••• L••left Dec 7, 2015, registered Dec 4, 2015 (-3 days) · Other · moved with a team
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 4, 2015, registered Apr 14, 2015 (-20 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Nov 27, 2013, registered Nov 19, 2013 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address