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.
T••••• J••• W•••
- T••• I••••••••• A•••••••• L•• independent RIA currentsince Jan 10, 2014 · Mission Viejo, Ca
- T••• I••••••••• A•••••••• L•• independent RIANov 1, 2013 to Dec 31, 2013 · Laguna Niguel, Ca
- T•• P••••••• N••••••• I••• formerMay 29, 2001 to Oct 30, 2013 · Mission Viejo, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 9, 1999 to Feb 5, 2004 · Laguna Niguel, Ca
- T•• P••••••• N••••••• I••• to T••• I••••••••• A•••••••• L••left Oct 30, 2013, registered Nov 1, 2013 (2 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•• P••••••• N••••••• I•••left Feb 5, 2004, registered May 29, 2001 (-982 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address