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.
M• A••••••• M•••••• T•••••
- C••• W••••• A••••••• independent RIA currentsince Aug 6, 2024 · Long Beach, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Aug 2, 2024 · Burbank, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 8, 1997 to Jan 2, 2009 · Burbank, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••• W••••• A•••••••left Aug 2, 2024, registered Aug 6, 2024 (4 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- M• A••••••• M•••••• T••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••• W••••• A••••••• (registered 2024-08-06)Aug 2, 2024 · 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address