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.
D•••• W•••
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 17, 2022 · San Diego, Ca
- S••••••• P•••••• F••••••••• L•• formerFeb 24, 2020 to Jul 10, 2020 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerSep 25, 2018 to Jul 10, 2020 · San Diego, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMAug 17, 2012 to Sep 19, 2018 · La Jolla, Ca
- L•••• C•••••• G•••• formerFeb 7, 2012 to Apr 3, 2012 · San Diego, Ca
- S••••••• P•••••• F••••••••• L•• to C••••••••• F•••••••• N••••••left Jul 10, 2020, registered Feb 17, 2022 (587 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••left Jul 10, 2020, registered Feb 24, 2020 (-137 days) · channel change inside one enterprise, not a move · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to C••• F•••••••• S•••••••• L•••left Sep 19, 2018, registered Sep 25, 2018 (6 days) · Other
- L•••• C•••••• G•••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 3, 2012, registered Aug 17, 2012 (136 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address