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.
E••••• W•••••• S•••••••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Feb 1, 2023 · Newport Beach, Ca
- L••••• W••••• A•••••••• I••• formerJan 5, 2022 to Mar 31, 2023 · Newport Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 2, 2007 to Dec 16, 2021 · Pasadena, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Mar 5, 2007 · Pasadena, Ca
- L••••• W••••• A•••••••• I••• to I••••••••• W••••• C••••••• L••left Mar 31, 2023, registered Feb 1, 2023 (-58 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to L••••• W••••• A•••••••• I•••left Dec 16, 2021, registered Jan 5, 2022 (20 days) · Wirehouse to independent RIA · moved with a team
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Mar 5, 2007, registered Mar 2, 2007 (-3 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address