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.
N••••• R•••• S••••••
- E• W••••• A••••••• independent RIA currentsince Jun 17, 2020 · Irvine, Ca
- T•• F•••••••• H••••• unclassifiedSep 23, 2019 to Jun 4, 2020 · Vista, Ca
- C••••••• P••••••• independent RIAJun 2, 2016 to Oct 22, 2018 · San Diego, Ca
- G•••• W••••• M••••••••• L•• formerApr 4, 2016 to Aug 29, 2017 · San Diego, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerAug 11, 2010 to Jan 12, 2015 · San Francisco, Ca
- F•••• R••••••• W••••• A•••••••• L•• unclassifiedAug 9, 2010 to Sep 30, 2010 · San Francisco, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 29, 2010 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 15, 2008 to Jun 1, 2009 · San Diego, Ca
- T•• F•••••••• H••••• to E• W••••• A•••••••left Jun 4, 2020, registered Jun 17, 2020 (13 days) · Other
- C••••••• P••••••• to T•• F•••••••• H•••••left Oct 22, 2018, registered Sep 23, 2019 (336 days) · Other
- G•••• W••••• M••••••••• L•• to C••••••• P•••••••left Aug 29, 2017, registered Jun 2, 2016 (-453 days) · Other · moved with a team
- J••• M••••• P•••••• W••••• A••••••• L•• to G•••• W••••• M••••••••• L••left Jan 12, 2015, registered Apr 4, 2016 (448 days) · Other
- F•••• R••••••• W••••• A•••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 30, 2010, registered Aug 11, 2010 (-50 days) · Other
- M••••• S•••••• to F•••• R••••••• W••••• A•••••••• L••left Jul 29, 2010, registered Aug 9, 2010 (11 days) · Other
- 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address