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•••• D••••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 16, 2021 · Pismo Beach, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 28, 2019 to Dec 21, 2021 · Arroyo Grande, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Oct 25, 2019 · Arroyo Grande, Ca
- N•• A•••••• S•••••••• L•• formerFeb 29, 2016 to Sep 22, 2016 · Arroyo Grande, Ca
- C••••••••• F•••••••• N•••••• national BDOct 22, 2015 to Mar 2, 2016 · Arroyo Grande, Ca
- N•• A•••••• S•••••••• L•• formerJul 22, 2014 to Oct 22, 2015 · San Luis Obispo, Ca
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Dec 21, 2021, registered Dec 16, 2021 (-5 days) · corporate re-registration, not a move
- K••••• A••••••• S•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Oct 25, 2019, registered Oct 28, 2019 (3 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
- C••••••••• F•••••••• N•••••• to N•• A•••••• S•••••••• L••left Mar 2, 2016, registered Feb 29, 2016 (-2 days) · Other · moved with a team
- N•• A•••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Oct 22, 2015, registered Oct 22, 2015 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address