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••••••••• F•••••••• N•••••• national BD currentsince Apr 17, 2023 · San Diego, Ca
- P•••••••• S••••••••• I••• BD affiliatedDec 3, 2013 to Apr 6, 2023 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJan 20, 2011 to Nov 14, 2013 · Ramona, Ca
- F•••••••• D•••••• L••• unclassifiedApr 9, 2010 to Jan 28, 2011
- I••••••••• F•••••••• G••••• L•• BD affiliatedMar 2, 2010 to Jan 3, 2011 · San Diego, Ca
- W•• S••••••••• unclassifiedJun 2, 2008 to Feb 24, 2010 · San Diego, Ca
- P•••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Apr 6, 2023, registered Apr 17, 2023 (11 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Nov 14, 2013, registered Dec 3, 2013 (19 days) · Other
- F•••••••• D•••••• L••• to U••• B•••••• A•••••••• L••left Jan 28, 2011, registered Jan 20, 2011 (-8 days) · Other
- I••••••••• F•••••••• G••••• L•• to F•••••••• D•••••• L•••left Jan 3, 2011, registered Apr 9, 2010 (-269 days) · Other
- W•• S••••••••• to I••••••••• F•••••••• G••••• L••left Feb 24, 2010, registered Mar 2, 2010 (6 days) · Other
- J••••••• M•••••• G••• left P•••••••• S••••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2023-04-17)Apr 6, 2023 · Advisor changed firm · fact
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