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.
J••• M•••••• G••••••••
- C•••••• A••••••• BD affiliated currentsince Jun 4, 2012 · San Diego, Ca
- L•••••• I••••••••• independent RIA currentsince Jun 1, 2012 · San Diego, Ca
- C••••••••• A•••••••• I•• formerSep 25, 2009 to Jun 1, 2012 · La Jolla, Ca
- A•••••• A••••••• S••••••• formerOct 3, 2008 to Sep 24, 2009 · San Diego, Ca
- S•••••••• F••••••••• I••• formerOct 11, 2007 to Sep 4, 2008 · San Diego, Ca
- C••••••••• A•••••••• I•• to L•••••• I•••••••••left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move
- A•••••• A••••••• S••••••• to C••••••••• A•••••••• I••left Sep 24, 2009, registered Sep 25, 2009 (1 days) · Other
- S•••••••• F••••••••• I••• to A•••••• A••••••• S•••••••left Sep 4, 2008, registered Oct 3, 2008 (29 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address