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•••••• C••••••••• P•••••••••
- D••• D••••••• • C•• independent RIA currentsince Mar 27, 2023 · South Berwick, Me
- L•• F•••••••• L•• BD affiliatedOct 11, 2013 to Apr 10, 2023 · San Diego, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Oct 7, 2013 · San Diego, Ca
- L•• F•••••••• L•• to D••• D••••••• • C••left Apr 10, 2023, registered Mar 27, 2023 (-14 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• A••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 7, 2013, registered Oct 11, 2013 (4 days) · Other
- M•••••• C••••••••• P••••••••• left L•• F•••••••• L•• for D••• D••••••• • C•• (registered 2023-03-27)Apr 10, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address