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.
D•••• A•••••• S••••••
- S•• BD affiliated currentsince Oct 31, 2017 · Costa Mesa, Ca
- T•• P••••••• N••••••• I••• formerAug 30, 2002 to Jan 9, 2003 · Huntington Beach, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerNov 30, 1999 to Nov 2, 2017 · Costa Mesa, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•• P••••••• N••••••• I•••left Nov 2, 2017, registered Aug 30, 2002 (-5543 days) · Other · moved with a team
- T•• P••••••• N••••••• I••• to S••left Jan 9, 2003, registered Oct 31, 2017 (5409 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address