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••• M•••••• B•••••••
- T•• W••••• C••••••••• G•••• independent RIA currentsince Nov 17, 2017 · La Jolla, Ca
- 1•• G••••• A••••••• I•• formerMar 24, 2016 to Nov 20, 2017 · La Jolla, Ca
- M•• F•••••••• S•••••••• I••• formerDec 14, 2015 to Mar 7, 2016 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJan 20, 2011 to Dec 17, 2015 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedAug 30, 2010 to Dec 22, 2010 · San Diego, Ca
- 1•• G••••• A••••••• I•• to T•• W••••• C••••••••• G••••left Nov 20, 2017, registered Nov 17, 2017 (-3 days) · Other
- M•• F•••••••• S•••••••• I••• to 1•• G••••• A••••••• I••left Mar 7, 2016, registered Mar 24, 2016 (17 days) · Other
- U••• B•••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 17, 2015, registered Dec 14, 2015 (-3 days) · Other
- L•• F•••••••• L•• to U••• B•••••• A•••••••• L••left Dec 22, 2010, registered Jan 20, 2011 (29 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address