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.
G•••••• G••••
- E••••• J•••• national BD currentsince Feb 26, 2024 · Granbury, Tx
- V••••••• A•••••••• I••• BD affiliatedJun 28, 2022 to Sep 22, 2023 · Scottsdale, Az
- C•••••••• M••••••••• G•••• formerMar 24, 2022 to Jun 1, 2022 · Newport Coast, Ca
- C•••••• S••••• • C••• I••• national BDMar 6, 2020 to Mar 29, 2022 · Phoenix, Az
- T• A••••••••• I••• formerAug 28, 2017 to Feb 5, 2020 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 28, 2017 to Aug 28, 2018 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 20, 2011 to Jan 17, 2017 · San Jose, Ca
- S•••••••• A••••••• L•• national BDAug 10, 2009 to Mar 30, 2011 · Sunnyvale, Ca
- V••••••• A•••••••• I••• to E••••• J••••left Sep 22, 2023, registered Feb 26, 2024 (157 days) · Affiliated broker-dealer or bank to another
- C•••••••• M••••••••• G•••• to V••••••• A•••••••• I•••left Jun 1, 2022, registered Jun 28, 2022 (27 days) · RIA to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to C•••••••• M••••••••• G••••left Mar 29, 2022, registered Mar 24, 2022 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Feb 5, 2020, registered Mar 6, 2020 (30 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 28, 2018, registered Aug 28, 2017 (-365 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 17, 2017, registered Aug 28, 2017 (223 days) · Other · moved with a team
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 30, 2011, registered Jun 20, 2011 (82 days) · Affiliated broker-dealer or bank to wirehouse
- G•••••• G•••• left V••••••• A•••••••• I••• for E••••• J•••• (registered 2024-02-26)Sep 22, 2023 · Advisor changed firm · fact
- G•••••• G•••• left C•••••••• M••••••••• G•••• for V••••••• A•••••••• I••• (registered 2022-06-28)Jun 1, 2022 · Advisor changed firm · fact
- G•••••• G•••• left C•••••• S••••• • C••• I••• for C•••••••• M••••••••• G•••• (registered 2022-03-24)Mar 29, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address