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.
E••• A•••• S•••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Jan 4, 2022 · Carlsbad, Ca
- A•••••• W••••• M••••••••• L•• independent RIAMay 1, 2020 to Dec 31, 2021 · San Diego, Ca
- M••••••••• A•••••••• L••• mixed wealthMar 26, 2020 to Apr 30, 2020 · New York, Ny
- W•• S••••••••• L•• state registeredJan 3, 2017 to Jul 15, 2020 · Cranford, Nj
- K••••••• C•••••• C••••••••• formerMar 15, 2011 to Oct 31, 2016 · New York, Ny
- E•••••••• A•••••••• L•• national BDApr 26, 2010 to Mar 16, 2011 · San Diego, Ca
- W•• S••••••••• L•• to M••••••••• A•••••••• L•••left Jul 15, 2020, registered Mar 26, 2020 (-111 days) · Other
- M••••••••• A•••••••• L••• to A•••••• W••••• M••••••••• L••left Apr 30, 2020, registered May 1, 2020 (1 days) · RIA to RIA
- K••••••• C•••••• C••••••••• to W•• S••••••••• L••left Oct 31, 2016, registered Jan 3, 2017 (64 days) · Other
- E•••••••• A•••••••• L•• to K••••••• C•••••• C•••••••••left Mar 16, 2011, registered Mar 15, 2011 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address