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.
S•••••• L••• L•••••••••
- W•••••• S••••••••• I••• BD affiliated currentsince Sep 21, 2023 · Pasadena, Ca
- C••••••••• F•••••••• N•••••• national BDJan 11, 2023 to Sep 22, 2023 · San Diego, Ca
- M••••• S•••••• wirehouseJun 17, 2020 to Jan 13, 2023 · Rancho Sante Fe, Ca
- C••••••••• F•••••••• N•••••• to W•••••• S••••••••• I•••left Sep 22, 2023, registered Sep 21, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to C••••••••• F•••••••• N••••••left Jan 13, 2023, registered Jan 11, 2023 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• L••• L••••••••• left C••••••••• F•••••••• N•••••• for W•••••• S••••••••• I••• (registered 2023-09-21)Sep 22, 2023 · Advisor changed firm · fact
- S•••••• L••• L••••••••• left M••••• S•••••• for C••••••••• F•••••••• N•••••• (registered 2023-01-11)Jan 13, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address