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.
T•••• S•••• M•••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Sep 21, 2015 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseOct 18, 2012 to Sep 24, 2015 · San Diego, Ca
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 18, 2011 to Oct 4, 2012 · Del Mar, Ca
- W•••• F•••• A••••••• to S•••••• W••••• P•••••••• L••left Sep 24, 2015, registered Sep 21, 2015 (-3 days) · Other · moved with a team
- T••••••• I••••••••• M••••••••• I••• to W•••• F•••• A•••••••left Oct 4, 2012, registered Oct 18, 2012 (14 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address