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•••••• J•••• O•••••
- S••••••• A•••• M••••••••• I•• independent RIA currentsince Dec 17, 2013 · Newport Beach, Ca
- O••••• F•••••••• G••••• I••• unclassifiedAug 4, 2009 to Dec 16, 2013 · Costa Mesa, Ca
- J••••• F••••••••• formerJun 30, 2006 to Aug 7, 2009 · Irvine, Ca
- O•••• W•••••• I••• BD affiliatedJul 8, 1997 to Sep 15, 2009 · Newport Beach, Ca
- O••••• F•••••••• S••••••• unclassifiedMay 23, 1995 to Aug 11, 2006 · Newport Beach, Ca
- O••••• F•••••••• G••••• I••• to S••••••• A•••• M••••••••• I••left Dec 16, 2013, registered Dec 17, 2013 (1 days) · Other
- O•••• W•••••• I••• to J••••• F•••••••••left Sep 15, 2009, registered Jun 30, 2006 (-1173 days) · Other
- J••••• F••••••••• to O••••• F•••••••• G••••• I•••left Aug 7, 2009, registered Aug 4, 2009 (-3 days) · Other
- O••••• F•••••••• S••••••• to O•••• W•••••• I•••left Aug 11, 2006, registered Jul 8, 1997 (-3321 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address