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.
G••••• W•••••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · San Diego, Ca
- T•• P••••••• N••••••• I••• formerApr 9, 2002 to Jul 11, 2003 · San Marcos, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 13, 2000 to Nov 29, 2017 · San Marcos, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•• P••••••• N••••••• I•••left Nov 29, 2017, registered Apr 9, 2002 (-5713 days) · Other · moved with a team
- T•• P••••••• N••••••• I••• to L•• F•••••••• L••left Jul 11, 2003, registered Nov 29, 2017 (5255 days) · Other
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
- 49derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address