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.
L••• G•••••• J••••
- T••••• A•••• M••••••••• L•• independent RIA currentsince Jan 1, 2025 · San Juan Capistrano, Ca
- O•••••••• I••• independent RIAMar 18, 2014 to Jun 30, 2022 · San Juan Capistrano, Ca
- C•••••••• F••••••••• I••• BD affiliatedNov 30, 2007 to Mar 3, 2014 · Anaheim, Ca
- A••••• C•••••• asset managerJan 16, 2003 to Aug 12, 2013 · Irvine, Ca
- O•••••••• I••• to T••••• A•••• M••••••••• L••left Jun 30, 2022, registered Jan 1, 2025 (916 days) · RIA to RIA
- C•••••••• F••••••••• I••• to O•••••••• I•••left Mar 3, 2014, registered Mar 18, 2014 (15 days) · Other
- A••••• C•••••• to C•••••••• F••••••••• I•••left Aug 12, 2013, registered Nov 30, 2007 (-2082 days) · Other
- L••• G•••••• J•••• left O•••••••• I••• for T••••• A•••• M••••••••• L•• (registered 2025-01-01)Jun 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address