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.
- S•• A•••• M••••••••• other currentsince Mar 6, 2019 · Boston, Ma
- T••••• C•••••• L•• unclassifiedJan 9, 2015 to Nov 20, 2017 · Santa Ana, Ca
- F••••• I••••••••• independent RIAJun 20, 2013 to Oct 6, 2014 · Santa Ana, Ca
- D•••••• R••••••••• S••••••••• L•• unclassifiedJun 1, 2012 to Jul 24, 2013 · Santa Ana, Ca
- C•••••• A••••••• G••••• I•• otherOct 24, 2007 to Oct 12, 2011 · Boston, Ma
- T••••• C•••••• L•• to S•• A•••• M•••••••••left Nov 20, 2017, registered Mar 6, 2019 (471 days) · Other
- F••••• I••••••••• to T••••• C•••••• L••left Oct 6, 2014, registered Jan 9, 2015 (95 days) · Other
- D•••••• R••••••••• S••••••••• L•• to F••••• I•••••••••left Jul 24, 2013, registered Jun 20, 2013 (-34 days) · Other
- C•••••• A••••••• G••••• I•• to D•••••• R••••••••• S••••••••• L••left Oct 12, 2011, registered Jun 1, 2012 (233 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
- Other adviserderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address