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••••• C••• C•••
- F•••••••• F•••• L•• independent RIA currentsince Oct 31, 2023 · C•••Sbad, Ca
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Nov 2, 2023 · C•••Sbad, Ca
- S•••••••• F••••••••• I••• formerAug 6, 2015 to Sep 1, 2023 · C•••Sbad, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 4, 2014 to Aug 7, 2015 · San Diego, Ca
- O•••• W•••••• I••• to F•••••••• F•••• L••left Nov 2, 2023, registered Oct 31, 2023 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to S•••••••• F••••••••• I•••left Aug 7, 2015, registered Aug 6, 2015 (-1 days) · Other
- B••••• C••• C••• left O•••• W•••••• I••• for F•••••••• F•••• L•• (registered 2023-10-31)Nov 2, 2023 · Advisor changed firm · fact
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