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.
A•••• J•••• M••••••••
- R•• S••••••••• I••• BD affiliated currentsince Mar 13, 2018 · Irvine, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMar 29, 2017 to Mar 12, 2018 · Del Mar, Ca
- W•••• F•••• A••••••• wirehouseFeb 3, 2015 to Nov 22, 2016 · San Diego, Ca
- U••• B•••••• A•••••••• L•• to R•• S••••••••• I•••left Mar 12, 2018, registered Mar 13, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Nov 22, 2016, registered Mar 29, 2017 (127 days) · Other
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