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••••• L• B••••••
- E••••••• C•••••• A•••••••• L•• independent RIA currentsince Oct 25, 2023 · Draper, Ut
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Oct 31, 2023 · Ridgecrest, Ca
- C••••• A•••••• N••••••• L•• formerMay 20, 2021 to Jun 29, 2023 · Escondido, Ca
- S••••• F•••••••• G•••• I•• formerSep 10, 2018 to May 20, 2021 · Escondido, Ca
- I••••••••• A••••••• C••• formerOct 21, 2009 to Sep 10, 2018 · Temecula, Ca
- W•••• F•••• A••••••• wirehouseMay 27, 2008 to Oct 21, 2009 · Broomfield, Co
- C••••• I••••••••• A••••••• L•• to E••••••• C•••••• A•••••••• L••left Oct 31, 2023, registered Oct 25, 2023 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••left May 20, 2021, registered May 20, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team
- I••••••••• A••••••• C••• to S••••• F•••••••• G•••• I••left Sep 10, 2018, registered Sep 10, 2018 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to I••••••••• A••••••• C•••left Oct 21, 2009, registered Oct 21, 2009 (0 days) · Other
- C••••• L• B•••••• left C••••• I••••••••• A••••••• L•• for E••••••• C•••••• A•••••••• L•• (registered 2023-10-25)Oct 31, 2023 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address