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.
C•••• M•••••• T••••••
- T•••••• W••••• M••••••••• state registered currentsince May 10, 2021 · San Diego, Ca
- T•••••• F•••••••• M••••••••• G••••• L••••• unclassifiedDec 22, 2020 to Aug 30, 2021 · Scottsdale, Az
- O••••••• R••••••••• G••••• L•• independent RIAMay 5, 2020 to Aug 16, 2021 · Bellevue, Wa
- R•• C•••••• M••••••• L•• national BDSep 30, 2016 to Apr 29, 2020 · Beverly Hills, Ca
- T•••••• F•••••••• M••••••••• G••••• L••••• to T•••••• W••••• M•••••••••left Aug 30, 2021, registered May 10, 2021 (-112 days) · Other · moved with a team
- O••••••• R••••••••• G••••• L•• to T•••••• F•••••••• M••••••••• G••••• L•••••left Aug 16, 2021, registered Dec 22, 2020 (-237 days) · Other
- R•• C•••••• M••••••• L•• to O••••••• R••••••••• G••••• L••left Apr 29, 2020, registered May 5, 2020 (6 days) · Affiliated broker-dealer or bank to independent RIA
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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address