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••••• C••••• F•••••• S•••••
- A•••• W••••• P••••••• state registered currentsince Sep 3, 2021 · Cardiff, Ca
- B••••••••• W••••• A•••••••• L•• no RAUMApr 29, 2019 to Sep 22, 2021 · Encinitas, Ca
- N•••••• W••••• A•••••••• I••• i••••••••• wealthJan 23, 2019 to Mar 27, 2019 · N•••••• Beach, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedAug 25, 2014 to Dec 31, 2018 · Escondido, Ca
- B••••••••• W••••• A•••••••• L•• to A•••• W••••• P•••••••left Sep 22, 2021, registered Sep 3, 2021 (-19 days) · RIA to a state-registered adviser
- N•••••• W••••• A•••••••• I••• to B••••••••• W••••• A•••••••• L••left Mar 27, 2019, registered Apr 29, 2019 (33 days) · RIA to RIA
- I••••••••• F•••••••• G••••• L•• to N•••••• W••••• A•••••••• I•••left Dec 31, 2018, registered Jan 23, 2019 (23 days) · Affiliated broker-dealer or bank to independent RIA
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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address