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.
A••••• A• G••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 19, 2020 · Bee Cave, Tx
- P•••• W••••• M••••••••• I••• unclassifiedJul 11, 2013 to Aug 1, 2016 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedMar 27, 2013 to Aug 12, 2016 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseApr 11, 2011 to Apr 3, 2013 · Irvine, Ca
- R••••••••• A•••• M••••••••• I••• unclassifiedJul 27, 2006 to Jan 9, 2008 · Irvine, Ca
- G••••• A••••••• L•• independent RIAJul 30, 2002 to Dec 31, 2005 · Los Angeles, Ca
- G••••• C•••••• M••••••••• independent RIAJan 4, 2002 to Dec 31, 2005 · Los Angeles, Ca
- L•• F•••••••• L•• to P•••• W••••• M••••••••• I•••left Aug 12, 2016, registered Jul 11, 2013 (-1128 days) · Other
- P•••• W••••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 1, 2016, registered Aug 19, 2020 (1479 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Apr 3, 2013, registered Mar 27, 2013 (-7 days) · Other
- R••••••••• A•••• M••••••••• I••• to W•••• F•••• A•••••••left Jan 9, 2008, registered Apr 11, 2011 (1188 days) · Other
- G••••• C•••••• M••••••••• to G••••• A••••••• L••left Dec 31, 2005, registered Jul 30, 2002 (-1250 days) · Other
- G••••• A••••••• L•• to R••••••••• A•••• M••••••••• I•••left Dec 31, 2005, registered Jul 27, 2006 (208 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address