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.
- M••••• S•••••• wirehouse currentsince Jun 8, 2023 · Purchase, Ny
- I••••••••• F•••••••• G••••• L•• BD affiliatedOct 18, 2022 to Apr 28, 2023 · San Diego, Ca
- M••••• S•••••• wirehouseJan 1, 2019 to Oct 18, 2022 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• to M••••• S••••••left Apr 28, 2023, registered Jun 8, 2023 (41 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to I••••••••• F•••••••• G••••• L••left Oct 18, 2022, registered Oct 18, 2022 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••• T•••• left I••••••••• F•••••••• G••••• L•• for M••••• S•••••• (registered 2023-06-08)Apr 28, 2023 · Advisor changed firm · fact
- A••••••• T•••• left M••••• S•••••• for I••••••••• F•••••••• G••••• L•• (registered 2022-10-18)Oct 18, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address