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••••••••• Q••••••• R•••••
- A•••••• W••••• A••••••• state registered currentsince Oct 20, 2017 · San Diego, Ca
- D••••• W••••• A••••••• formerFeb 13, 2015 to Dec 31, 2017 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 27, 2015 · Pasadena, Ca
- M••••• S•••••• • C•• L•• unclassifiedMay 7, 2009 to Jun 1, 2009 · Pasadena, Ca
- D••••• W••••• A••••••• to A•••••• W••••• A•••••••left Dec 31, 2017, registered Oct 20, 2017 (-72 days) · Other · moved with a team
- M••••• S•••••• to D••••• W••••• A•••••••left Feb 27, 2015, registered Feb 13, 2015 (-14 days) · Other · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address