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.
L•••• D••• P••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Feb 4, 2019 · Garden Grove, Ca
- A••••••• I••••••••• S••••••••• G••••• L•• i••••••••• wealthSep 14, 2012 to Feb 4, 2019 · Garden Grove, Ca
- C•••••• S•••••• P••••••• formerJan 3, 2012 to Sep 17, 2012 · Whittier, Ca
- F•••••••• W••• G•••• formerJan 14, 2004 to Dec 31, 2010 · Santa Ana, Ca
- M••••• S•••••• D• I••• unclassifiedNov 15, 2001 to Jan 6, 2004 · Laguna Hills, Ca
- A••••••• I••••••••• S••••••••• G••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 4, 2019, registered Feb 4, 2019 (0 days) · RIA to affiliated broker-dealer or bank
- C•••••• S•••••• P••••••• to A••••••• I••••••••• S••••••••• G••••• L••left Sep 17, 2012, registered Sep 14, 2012 (-3 days) · Other
- F•••••••• W••• G•••• to C•••••• S•••••• P•••••••left Dec 31, 2010, registered Jan 3, 2012 (368 days) · Other
- M••••• S•••••• D• I••• to F•••••••• W••• G••••left Jan 6, 2004, registered Jan 14, 2004 (8 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address