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.
K•••••••• R••• R•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 30, 2014 · Carlsbad, Ca
- D••• D••••••• • C•• independent RIANov 25, 2013 to May 8, 2014 · San Diego, Ca
- C•••••• W••••• • C•• formerNov 4, 2013 to Nov 25, 2013 · San Diego, Ca
- C••••••• W••••• • C•• formerAug 14, 2012 to Nov 4, 2013 · San Diego, Ca
- D••• D••••••• • C•• to R•••••• J•••• • A••••••••• I•••left May 8, 2014, registered Apr 30, 2014 (-8 days) · Other
- C•••••• W••••• • C•• to D••• D••••••• • C••left Nov 25, 2013, registered Nov 25, 2013 (0 days) · corporate re-registration, not a move
- C••••••• W••••• • C•• to C•••••• W••••• • C••left Nov 4, 2013, registered Nov 4, 2013 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address