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•• T••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 24, 2012 · San Diego, Ca
- J•• C•••••• A••••••• L•• formerJul 21, 2011 to Nov 18, 2011 · San Diego, Ca
- W•• S••••••••• unclassifiedNov 16, 2009 to Jul 18, 2011 · San Diego, Ca
- E•••••••• A•••••••• L•• national BDDec 19, 2008 to Mar 4, 2009 · Escondido, Ca
- J•• C•••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 18, 2011, registered Apr 24, 2012 (158 days) · Other
- W•• S••••••••• to J•• C•••••• A••••••• L••left Jul 18, 2011, registered Jul 21, 2011 (3 days) · Other
- E•••••••• A•••••••• L•• to W•• S•••••••••left Mar 4, 2009, registered Nov 16, 2009 (257 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