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.
S•••••• A••••• S••••••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Feb 2, 2023 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedFeb 7, 2022 to Jul 11, 2023 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMar 27, 2018 to Dec 31, 2021 · San Diego, Ca
- W•••••• • R••• formerJun 25, 2012 to Apr 3, 2018 · San Diego, Ca
- L•• F•••••••• L•• to I••••••••• W••••• C••••••• L••left Jul 11, 2023, registered Feb 2, 2023 (-159 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• • R••• to L•• F•••••••• L••left Apr 3, 2018, registered Mar 27, 2018 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S•••••• A••••• S•••••• left L•• F•••••••• L•• for I••••••••• W••••• C••••••• L•• (registered 2023-02-02)Jul 11, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address