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.
J••••• C••• S••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Laguna Niguel, Ca
- S•••••••• F••••••••• I••• formerAug 21, 2015 to Sep 1, 2023 · Laguna Niguel, Ca
- F•••••••• L•• formerMay 29, 2014 to Aug 19, 2015 · San Juan Capistrano, Ca
- Q•••••• A•••• M••••••••• I••• formerNov 16, 2009 to Feb 26, 2014 · Minneapolis, Mn
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 6, 2009 to Nov 13, 2009 · Windsor, Ct
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Mar 12, 2009 · Laguna Niguel, Ca
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedNov 7, 2005 to Oct 31, 2008 · Houston, Tx
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- F•••••••• L•• to S•••••••• F••••••••• I•••left Aug 19, 2015, registered Aug 21, 2015 (2 days) · Other · moved with a team
- Q•••••• A•••• M••••••••• I••• to F•••••••• L••left Feb 26, 2014, registered May 29, 2014 (92 days) · Other
- V••• F•••••••• A•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Nov 13, 2009, registered Nov 16, 2009 (3 days) · Other
- S•••••••• F••••••••• I••• to V••• F•••••••• A•••••••• I•••left Mar 12, 2009, registered Apr 6, 2009 (25 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
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
- 49derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address