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.
A••••• M•••• P•••
- S•• W••••• independent RIA currentsince Jan 2, 2024 · Marina, Ca
- C••••••••• F•••••••• N•••••• national BDMay 29, 2023 to Nov 29, 2023 · Pacific Grove, Ca
- C••••••••• F•••••••• N•••••• to S•• W•••••left Nov 29, 2023, registered Jan 2, 2024 (34 days) · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• M•••• P••• left C••••••••• F•••••••• N•••••• for S•• W••••• (registered 2024-01-02)Nov 29, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address