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.
K•• L• C••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 12, 2021 · San Diego, Ca
- R•• C•••••• M••••••• L•• national BDMay 13, 2019 to Nov 2, 2021 · La Jolla, Ca
- W•••• F•••• A••••••• wirehouseSep 17, 2015 to May 14, 2019 · San Diego, Ca
- O••••••••• • C•• I••• BD affiliatedApr 30, 2015 to Oct 1, 2015 · San Diego, Ca
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 2, 2021, registered Nov 12, 2021 (10 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 14, 2019, registered May 13, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Oct 1, 2015, registered Sep 17, 2015 (-14 days) · Other · moved with a team
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address