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.
P•••••• C•••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 28, 2026 · Nashville, Tn
- C••••••••• F•••••••• N•••••• national BDJul 12, 2018 to Jul 7, 2020 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedApr 12, 2016 to Jul 3, 2018 · Santa Maria, Ca
- D••• D••••••• • C•• independent RIAAug 4, 2015 to Mar 14, 2016 · Santa Barbara, Ca
- C••••••••• F•••••••• N•••••• to U•• F•••••••• S••••••• I•••left Jul 7, 2020, registered Aug 28, 2026 (2243 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Jul 3, 2018, registered Jul 12, 2018 (9 days) · RIA to affiliated broker-dealer or bank
- D••• D••••••• • C•• to L•• F•••••••• L••left Mar 14, 2016, registered Apr 12, 2016 (29 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address