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.
J••• W•••• B•••••••••
- B••• G••••• • C••••••• I••• independent RIA currentsince Aug 26, 2014 · Orange, Ca
- L•• F•••••••• L•• BD affiliatedOct 26, 2007 to Jul 30, 2014 · Westlake Village, Ca
- D•• I••••••• S••••••• unclassifiedMar 18, 2005 to Oct 1, 2007 · Irvine, Ca
- I••• S••••••••• I••• unclassifiedJul 8, 2004 to Mar 29, 2005 · Irvine, Ca
- L•• F•••••••• L•• to B••• G••••• • C••••••• I•••left Jul 30, 2014, registered Aug 26, 2014 (27 days) · Other
- D•• I••••••• S••••••• to L•• F•••••••• L••left Oct 1, 2007, registered Oct 26, 2007 (25 days) · Other
- I••• S••••••••• I••• to D•• I••••••• S•••••••left Mar 29, 2005, registered Mar 18, 2005 (-11 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address