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.
P••• W•••••••• P••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Jun 3, 2015 · Laguna Niguel, Ca
- B•••• J••••• I••••••••• A•••••••• L•• formerSep 13, 2007 to Oct 15, 2007 · San Clemente, Ca
- M••• S••••• A•••••••• L•• formerApr 11, 2007 to Oct 16, 2023 · Laguna Niguel, Ca
- M••• S••••• A•••••••• L•• to B•••• J••••• I••••••••• A•••••••• L••left Oct 16, 2023, registered Sep 13, 2007 (-5877 days) · Other
- B•••• J••••• I••••••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••left Oct 15, 2007, registered Jun 3, 2015 (2788 days) · Other
- P••• W•••••••• P•••••• left M••• S••••• A•••••••• L•• for B•••• J••••• I••••••••• A•••••••• L•• (registered 2007-09-13)Oct 16, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address