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.
B•••••• J•••• L•••••••••
- S•••••• W••••• M••••••••• I••• independent RIA currentsince Sep 11, 2015 · Carlsbad, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 10, 2012 to Apr 6, 2016 · Carlsbad, Ca
- S•••••••• I••••••••• A•••••••• I••• formerJul 26, 2011 to Jul 10, 2012 · Carlsbad, Ca
- F•••• A••••• S••••••••• I••• formerFeb 11, 2011 to Apr 7, 2011 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedOct 30, 2008 to Feb 24, 2011 · Oceanside, Ca
- W•• S••••••••• unclassifiedJan 14, 2008 to Oct 30, 2008 · San Diego, Ca
- F•••• A••••• A••••••• S•••••••• I••• to S•••••• W••••• M••••••••• I•••left Apr 6, 2016, registered Sep 11, 2015 (-208 days) · Other · moved with a team
- S•••••••• I••••••••• A•••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 10, 2012, registered Jul 10, 2012 (0 days) · Other
- F•••• A••••• S••••••••• I••• to S•••••••• I••••••••• A•••••••• I•••left Apr 7, 2011, registered Jul 26, 2011 (110 days) · Other
- L•• F•••••••• L•• to F•••• A••••• S••••••••• I•••left Feb 24, 2011, registered Feb 11, 2011 (-13 days) · Other
- W•• S••••••••• to L•• F•••••••• L••left Oct 30, 2008, registered Oct 30, 2008 (0 days) · Other
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