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.
R••••• C•••••• E••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Dec 13, 2017 · Kirkland, Wa
- R•••••• J•••• • A••••••••• I••• national BDOct 28, 2016 to Dec 4, 2017 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedNov 14, 2013 to Apr 20, 2016 · San Diego, Ca
- F•••• F•••••••• G••••• I••• formerSep 14, 2012 to Nov 13, 2012 · San Diego, Ca
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 4, 2017, registered Dec 13, 2017 (9 days) · Other · moved with a team
- L•• F•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 20, 2016, registered Oct 28, 2016 (191 days) · Other
- F•••• F•••••••• G••••• I••• to L•• F•••••••• L••left Nov 13, 2012, registered Nov 14, 2013 (366 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