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.
A•••••••• S•••••• M•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 31, 2015 · San Diego, Ca
- M••••• S•••••• wirehouseJul 26, 2011 to Aug 7, 2015 · San Diego, Ca
- T•••••••• I••••••••• M••••••••• I•• asset managerOct 21, 2010 to Jun 9, 2011 · Santa Fe, Nm
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 7, 2015, registered Jul 31, 2015 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- T•••••••• I••••••••• M••••••••• I•• to M••••• S••••••left Jun 9, 2011, registered Jul 26, 2011 (47 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address