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•••••• A• S••••••
- C••••••••• W••••• A•••••••• I••• independent RIA currentsince Jan 1, 2025 · Aiken, Sc
- C••••••••• W••••• A•••••••• I••• unclassifiedMar 3, 2017 to Oct 21, 2020 · Dana Point, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 24, 2011 to Feb 21, 2017 · Newport Beach, Ca
- E•••••••• A•••••••• L•• national BDJul 12, 2010 to Jun 28, 2011 · Portland, Or
- W••••••• F•••••••• S•••••••• I••• formerNov 29, 2007 to Nov 30, 2009 · Irvine, Ca
- F•• S••••••••• C••••••••• formerJul 17, 2007 to Nov 20, 2007 · Irvine, Ca
- F••••••• S••••••••• I••• formerJul 29, 2002 to Sep 20, 2002 · Irvine, Ca
- C••••••••• W••••• A•••••••• I••• to C••••••••• W••••• A•••••••• I•••left Oct 21, 2020, registered Jan 1, 2025 (1533 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• W••••• A•••••••• I•••left Feb 21, 2017, registered Mar 3, 2017 (10 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 28, 2011, registered Aug 24, 2011 (57 days) · Affiliated broker-dealer or bank to wirehouse
- W••••••• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Nov 30, 2009, registered Jul 12, 2010 (224 days) · Other
- F•• S••••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••left Nov 20, 2007, registered Nov 29, 2007 (9 days) · Other
- F••••••• S••••••••• I••• to F•• S••••••••• C•••••••••left Sep 20, 2002, registered Jul 17, 2007 (1761 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address