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••••• J••••• B•••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 11, 2023 · The Woodlands, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 19, 2023 to Sep 7, 2023 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 24, 2020 to Feb 10, 2021 · Carlsbad, Ca
- E••••• J•••• national BDJan 24, 2018 to Jun 25, 2020 · Oceanside, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 11, 2023 (-27 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Feb 10, 2021, registered Jan 19, 2023 (708 days) · Wirehouse to independent RIA
- E••••• J•••• to J••• M••••• S••••••••• L••left Jun 25, 2020, registered Jun 24, 2020 (-1 days) · Affiliated broker-dealer or bank to wirehouse
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address