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••• R• C•••••••
- A••••• W••••• independent RIA currentsince Apr 5, 2023 · West Hartford, Ct
- C•••••• W••••• M••••••••• I••• formerApr 30, 2010 to Apr 13, 2023 · Irvine, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 9, 2009 to Mar 29, 2010 · Irvine, Ca
- C•••••• W••••• M••••••••• I••• to A••••• W•••••left Apr 13, 2023, registered Apr 5, 2023 (-8 days) · RIA to RIA · moved with a team
- C••••• I••••••••• A••••••• L•• to C•••••• W••••• M••••••••• I•••left Mar 29, 2010, registered Apr 30, 2010 (32 days) · Other
- G••• R• C••••••• left C•••••• W••••• M••••••••• I••• for A••••• W••••• (registered 2023-04-05)Apr 13, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address