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••••• C•••• M••••
- L•• F•••••••• L•• BD affiliated currentsince May 22, 2017 · Colorado Springs, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 8, 2012 to May 17, 2017 · Colorado Springs, Co
- S••••••• P•••••• F••••••••• L•• formerFeb 18, 2011 to Oct 22, 2012 · San Diego, Ca
- E••••• J•••• national BDMay 11, 2010 to Dec 9, 2010 · Vacaville, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left May 17, 2017, registered May 22, 2017 (5 days) · Other
- S••••••• P•••••• F••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 22, 2012, registered Nov 8, 2012 (17 days) · Other
- E••••• J•••• to S••••••• P•••••• F••••••••• L••left Dec 9, 2010, registered Feb 18, 2011 (71 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address