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.
B•••••• M•••• F•••••••
- C•••• P•••••• W••••• A•••••••• L•• independent RIA currentsince Oct 16, 2020 · San Luis Obispo, Ca
- C••••••••• F•••••••• N•••••• national BDApr 4, 2016 to Sep 14, 2020 · Arroyo Grande, Ca
- W•••• F•••• A••••••• wirehouseJul 28, 2014 to Mar 16, 2016 · San Luis Obispo, Ca
- S•••••••• F••••••••• I••• formerDec 17, 2013 to Jul 31, 2014 · Santa Barbara, Ca
- C••••••••• F•••••••• N•••••• to C•••• P•••••• W••••• A•••••••• L••left Sep 14, 2020, registered Oct 16, 2020 (32 days) · Affiliated broker-dealer or bank to a newly registered adviser
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Mar 16, 2016, registered Apr 4, 2016 (19 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• F••••••••• I••• to W•••• F•••• A•••••••left Jul 31, 2014, registered Jul 28, 2014 (-3 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address