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••• P• W•••••••••
- F•••• P••••••• W•••••• L•• independent RIA currentsince Sep 3, 2024 · San Diego, Ca
- H••••••••• L•• formerMay 31, 2023 to Nov 21, 2024 · San Diego, Ca
- S•••••••• F••••••••• I••• formerMar 8, 2017 to Jul 11, 2022 · San Diego, Ca
- H••••••••• L•• to F•••• P••••••• W•••••• L••left Nov 21, 2024, registered Sep 3, 2024 (-79 days) · RIA to RIA · moved with a team
- S•••••••• F••••••••• I••• to H••••••••• L••left Jul 11, 2022, registered May 31, 2023 (324 days) · Affiliated broker-dealer or bank to independent RIA
- K••• P• W••••••••• left H••••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2024-09-03)Nov 21, 2024 · Advisor changed firm · fact
- K••• P• W••••••••• left S•••••••• F••••••••• I••• for H••••••••• L•• (registered 2023-05-31)Jul 11, 2022 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address