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.
E••••••• A•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · El Segundo, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 21, 2014 to Dec 19, 2018 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJan 15, 2010 to Feb 14, 2014 · Manhattan Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 15, 2008 to Feb 19, 2008 · Long Beach, Ca
- N••••••••• M••••• I••••••••• S••••••••• to C••••• I••••••••• A••••••• L••left Dec 19, 2018, registered Jun 29, 2023 (1653 days) · Other
- U••• B•••••• A•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 14, 2014, registered Mar 21, 2014 (35 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• A•••••••• L••left Feb 19, 2008, registered Jan 15, 2010 (696 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address