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.
D•••••• R••••••
- E•••••••• A•••••••• L•• national BD currentsince Jan 27, 2025 · New York, Ny
- S••••••• P•••••• F••••••••• L•• formerJan 15, 2016 to Nov 2, 2020 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerSep 8, 2015 to Nov 2, 2020 · San Diego, Ca
- E•••••••• A•••••••• L•• national BDJul 18, 2014 to Sep 11, 2015 · San Diego, Ca
- S••••••• P•••••• F••••••••• L•• to E•••••••• A•••••••• L••left Nov 2, 2020, registered Jan 27, 2025 (1547 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••left Nov 2, 2020, registered Jan 15, 2016 (-1753 days) · channel change inside one enterprise, not a move
- E•••••••• A•••••••• L•• to C••• F•••••••• S•••••••• L•••left Sep 11, 2015, registered Sep 8, 2015 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address