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••••••• S•••• M•••••
- B••••• C•••••• M••••••••• L•• independent RIA currentsince Sep 30, 2015 · Franklin, Tn
- M•••••• A••••• S••••••••• L•• BD affiliatedMar 25, 2009 to Sep 30, 2013 · San Diego, Ca
- M•••••• A••••• A•••••••• I••• unclassifiedJul 24, 2008 to Mar 25, 2009 · San Diego, Ca
- W•••••••• F•••••••• G••••• I••• formerOct 25, 2007 to Jul 26, 2008 · W••••••••, Ga
- M•••••• A••••• S••••••••• L•• to B••••• C•••••• M••••••••• L••left Sep 30, 2013, registered Sep 30, 2015 (730 days) · Other
- M•••••• A••••• A•••••••• I••• to M•••••• A••••• S••••••••• L••left Mar 25, 2009, registered Mar 25, 2009 (0 days) · corporate re-registration, not a move
- W•••••••• F•••••••• G••••• I••• to M•••••• A••••• A•••••••• I•••left Jul 26, 2008, registered Jul 24, 2008 (-2 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address