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.
H••••• D•• C•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 24, 2023 · Vista, Ca
- I••••••••• W••••• C••••••• L•• independent RIAMar 11, 2021 to Jan 3, 2023 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseDec 24, 2018 to Feb 12, 2021 · Oceanside, Ca
- I••••••••• W••••• C••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 3, 2023, registered Jul 24, 2023 (202 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to I••••••••• W••••• C••••••• L••left Feb 12, 2021, registered Mar 11, 2021 (27 days) · Wirehouse to independent RIA
- H••••• D•• C••••••• left I••••••••• W••••• C••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-07-24)Jan 3, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address