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•••••• R••• M•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 6, 2023 · Coronado, Ca
- D••••• independent RIAApr 4, 2014 to Apr 6, 2023 · San Diego, Ca
- C••••••••• F•••••••• N•••••• national BDJul 23, 2013 to Apr 1, 2014 · Waltham, Ma
- D••••• to W••••• E••••••••• A••••••• S•••••••• L••left Apr 6, 2023, registered Apr 6, 2023 (0 days) · RIA to RIA
- C••••••••• F•••••••• N•••••• to D•••••left Apr 1, 2014, registered Apr 4, 2014 (3 days) · Other
- B•••••• R••• M••••• left Dunham for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-04-06)Apr 6, 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
- 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