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•••• G••• M••••••
- A••• I•••••• I•• independent RIA currentsince Apr 8, 2024 · San Diego, Ca
- C•••••• S••••• • C••• I••• national BDMar 29, 2023 to Mar 29, 2024 · Westlake, Tx
- W•••• F•••• A••••••• wirehouseOct 14, 2021 to Nov 30, 2022 · San Diego, Ca
- C•••••• S••••• • C••• I••• to A••• I•••••• I••left Mar 29, 2024, registered Apr 8, 2024 (10 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Nov 30, 2022, registered Mar 29, 2023 (119 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••• G••• M•••••• left C•••••• S••••• • C••• I••• for A••• I•••••• I•• (registered 2024-04-08)Mar 29, 2024 · Advisor changed firm · fact
- M•••• G••• M•••••• left W•••• F•••• A••••••• for C•••••• S••••• • C••• I••• (registered 2023-03-29)Nov 30, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address