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.
T•••• G•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Austin, Tx
- S••••••• F•••••••• S•••••••• I••• formerAug 13, 2018 to Aug 10, 2023 · San Diego, Ca
- C•• S••••••••• L•• formerAug 13, 2018 to Oct 25, 2021 · San Diego, Ca
- F•••••••• A••••••• S•••••••• L•• formerFeb 28, 2018 to Aug 2, 2018 · San Antonio, Tx
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Oct 25, 2021, registered Aug 13, 2018 (-1169 days) · corporate re-registration, not a move
- F•••••••• A••••••• S•••••••• L•• to C•• S••••••••• L••left Aug 2, 2018, registered Aug 13, 2018 (11 days) · Affiliated broker-dealer or bank to another · moved with a team
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address