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.
A•••• L••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 13, 2017 · Tucson, Az
- P•• A••••••• independent RIAAug 7, 2015 to Oct 26, 2017 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedAug 4, 2015 to Aug 6, 2015 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 12, 2015 · Tucson, Az
- C•••• I••••••••• S••••••• C•••• formerJul 12, 2010 to Oct 1, 2012 · Tucson, Az
- W•••• F•••• I••••••••• L•• unclassifiedJan 5, 2009 to Jul 13, 2010 · Tucson, Az
- P•• A••••••• to J••• M••••• S••••••••• L••left Oct 26, 2017, registered Nov 13, 2017 (18 days) · Other
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Aug 12, 2015, registered Aug 4, 2015 (-8 days) · Other
- L•• F•••••••• L•• to P•• A•••••••left Aug 6, 2015, registered Aug 7, 2015 (1 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Jul 13, 2010, registered Jul 12, 2010 (-1 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address