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.
R••••• E••••• R••••••
- W•••• I••••••••• A•••••••• L•• other currentsince Dec 28, 2015 · San Diego, Ca
- C••••••••• C•••••••• A••••••• unclassifiedSep 20, 2010 to Dec 7, 2012 · San Diego, Ca
- C••••••••• C•••••••• A••••••• unclassifiedSep 22, 1999 to Dec 31, 2006 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedDec 19, 1997 to Jan 21, 2016 · San Diego, Ca
- L•• F•••••••• L•• to C••••••••• C•••••••• A•••••••left Jan 21, 2016, registered Sep 22, 1999 (-5965 days) · Other
- C••••••••• C•••••••• A••••••• to W•••• I••••••••• A•••••••• L••left Dec 7, 2012, registered Dec 28, 2015 (1116 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
- Other adviserderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address