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.
R••• A••••• G•••••••
- T••• F•••••••• C••••••• L•• former currentsince Jul 29, 2020 · El Cajon, Ca
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jan 8, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerOct 10, 2014 to Jan 8, 2018 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 31, 2011 to Sep 29, 2014 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerMay 9, 2008 to Jun 3, 2011 · San Diego, Ca
- U••• I••••••••• S••••••• C•••••• to T••• F•••••••• C••••••• L••left Jan 8, 2020, registered Jul 29, 2020 (203 days) · Affiliated broker-dealer or bank to independent RIA
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Sep 29, 2014, registered Oct 10, 2014 (11 days) · Other
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jun 3, 2011, registered May 31, 2011 (-3 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
- Former SEC-registered adviserderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address