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.
- M••••• S•••••• wirehouse currentsince Mar 8, 2022 · San Diego, Ca
- M••••• S•••••• wirehouseDec 17, 2020 to Aug 24, 2021 · La Jolla, Ca
- L•• F•••••••• L•• BD affiliatedJun 26, 2020 to Dec 18, 2020 · Melbourne Beach, Fl
- U••• B•••••• A•••••••• L•• BD affiliatedMay 7, 2013 to Jul 8, 2020 · Carlsbad, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 23, 2013 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 15, 2009 to Jan 3, 2011 · La Jolla, Ca
- L•• F•••••••• L•• to M••••• S••••••left Dec 18, 2020, registered Dec 17, 2020 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• A•••••••• L•• to L•• F•••••••• L••left Jul 8, 2020, registered Jun 26, 2020 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Jan 23, 2013, registered May 7, 2013 (104 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address