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•••••• W•••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Feb 18, 2015 · Brea, Ca
- L•• F•••••••• L•• BD affiliatedAug 28, 2008 to Feb 6, 2015 · Santa Ana, Ca
- C••••••• W••••• • C•• formerJun 8, 2007 to Sep 4, 2008 · Irvine, Ca
- S•••• I••••••••• A••••••• I••••••••• state registeredFeb 13, 2002 to Dec 7, 2006 · Redlands, Ca
- L•• F•••••••• L•• to K••••• P•••••• W••••• S•••••••• L••left Feb 6, 2015, registered Feb 18, 2015 (12 days) · Other
- C••••••• W••••• • C•• to L•• F•••••••• L••left Sep 4, 2008, registered Aug 28, 2008 (-7 days) · Other
- S•••• I••••••••• A••••••• I••••••••• to C••••••• W••••• • C••left Dec 7, 2006, registered Jun 8, 2007 (183 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address