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.
V••••••• L••••••• B•••••
- R•• C•••••• M••••••• L•• national BD currentsince Apr 28, 2023 · Trabuco Canyon, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerJan 28, 2019 to May 18, 2023 · Newport Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 26, 1999 to Feb 5, 2019 · Newport Beach, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to R•• C•••••• M••••••• L••left May 18, 2023, registered Apr 28, 2023 (-20 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•• F•••••••• S••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Feb 5, 2019, registered Jan 28, 2019 (-8 days) · Wirehouse to independent RIA · moved with a team
- V••••••• L••••••• B••••• left J••• M••••• P•••••• W••••• A••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-04-28)May 18, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address