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.
D••••• E•••••• T•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 4, 2024 · La Jolla, Ca
- S•••••• W••••• P•••••••• L•• BD affiliatedSep 25, 2015 to Dec 4, 2024 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseApr 2, 2012 to Sep 28, 2015 · San Diego, Ca
- S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••left Dec 4, 2024, registered Dec 4, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to S•••••• W••••• P•••••••• L••left Sep 28, 2015, registered Sep 25, 2015 (-3 days) · Other · moved with a team
- D••••• E•••••• T••••••••• left S•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2024-12-04)Dec 4, 2024 · 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