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.
S••••• A•••••• T••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 20, 2019 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJul 11, 2017 to Sep 25, 2019 · El Cajon, Ca
- J••• M••••• S••••••••• L•• wirehouseApr 2, 2013 to Jul 12, 2017 · El Cajon, Ca
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 25, 2019, registered Sep 20, 2019 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to U••• B•••••• A•••••••• L••left Jul 12, 2017, registered Jul 11, 2017 (-1 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address