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.
J••••• L• R•••
- W•••• F•••• A••••••• wirehouse currentsince Feb 9, 2022 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 1, 2019 to Jan 26, 2022 · Solana Beach, Ca
- P•••••• F•••••••• P••••••• independent RIAOct 2, 2017 to Oct 16, 2018 · Del Mar, Ca
- M••••• S•••••• wirehouseApr 10, 2017 to Oct 2, 2017 · San Diego, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 26, 2022, registered Feb 9, 2022 (14 days) · Wirehouse to wirehouse · moved with a team
- P•••••• F•••••••• P••••••• to J••• M••••• S••••••••• L••left Oct 16, 2018, registered Mar 1, 2019 (136 days) · RIA to wirehouse
- M••••• S•••••• to P•••••• F•••••••• P•••••••left Oct 2, 2017, registered Oct 2, 2017 (0 days) · Other
- J••••• L• R••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-02-09)Jan 26, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address