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.
H••••• R•••• C•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Claremont, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 10, 2015 to Jun 14, 2024 · Claremont, Ca
- L•• F•••••••• L•• BD affiliatedAug 31, 2012 to Dec 24, 2015 · Claremont, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 23, 2010 to Sep 10, 2012 · Claremont, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 19, 2010 · Claremont, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 18, 2004 to Jun 1, 2009 · Claremont, Ca
- D••••••• B••• S••••••••• I••• no RAUMJun 18, 2001 to Jun 3, 2004 · Los Angeles, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Dec 24, 2015, registered Dec 10, 2015 (-14 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Sep 10, 2012, registered Aug 31, 2012 (-10 days) · Other
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 19, 2010, registered Apr 23, 2010 (-26 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- D••••••• B••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••left Jun 3, 2004, registered May 18, 2004 (-16 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address