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.
M••••••• M• H•••
- H••••••• W••••• M••••••••• I••• independent RIA currentsince Dec 21, 2021 · San Diego, Ca
- T•• K•••• F•••••••• G••••• I••• independent RIAOct 26, 2021 to Feb 28, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedAug 21, 2017 to Oct 1, 2021 · San Diego, Ca
- T• A••••••••• I••• formerMar 19, 2013 to Jul 13, 2017 · San Diego, Ca
- S••••••• F•••••••• S•••••••• I••• formerMar 28, 2012 to Mar 20, 2013 · Rancho Santa Fe, Ca
- T•• K•••• F•••••••• G••••• I••• to H••••••• W••••• M••••••••• I•••left Feb 28, 2022, registered Dec 21, 2021 (-69 days) · RIA to a newly registered adviser · moved with a team
- L•• F•••••••• L•• to T•• K•••• F•••••••• G••••• I•••left Oct 1, 2021, registered Oct 26, 2021 (25 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••• to L•• F•••••••• L••left Jul 13, 2017, registered Aug 21, 2017 (39 days) · Other
- S••••••• F•••••••• S•••••••• I••• to T• A••••••••• I•••left Mar 20, 2013, registered Mar 19, 2013 (-1 days) · Other
- M••••••• M• H••• left T•• K•••• F•••••••• G••••• I••• for H••••••• W••••• M••••••••• I••• (registered 2021-12-21)Feb 28, 2022 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address