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.
K•• S••••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Apr 7, 2021 · Glendale, Ca
- M••••• S•••••• wirehouseSep 19, 2017 to Jul 31, 2019 · Santa Rosa, Ca
- E•••••••• A•••••••• L•• national BDFeb 29, 2016 to Mar 31, 2016 · San Francisco, Ca
- C••••••••• F•••••••• N•••••• national BDAug 1, 2014 to Nov 23, 2015 · San Diego, Ca
- M•••••• A••••• S••••••••• L•• BD affiliatedSep 12, 2013 to Jul 29, 2014 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedNov 22, 2012 to Jun 21, 2013 · San Diego, Ca
- M••••• S•••••• to U••• B•••••• A•••••••• L••left Jul 31, 2019, registered Apr 7, 2021 (616 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to M••••• S••••••left Mar 31, 2016, registered Sep 19, 2017 (537 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••••• F•••••••• N•••••• to E•••••••• A•••••••• L••left Nov 23, 2015, registered Feb 29, 2016 (98 days) · Affiliated broker-dealer or bank to another
- M•••••• A••••• S••••••••• L•• to C••••••••• F•••••••• N••••••left Jul 29, 2014, registered Aug 1, 2014 (3 days) · Other
- I••••••••• F•••••••• G••••• L•• to M•••••• A••••• S••••••••• L••left Jun 21, 2013, registered Sep 12, 2013 (83 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address