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••••• J• R••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Dec 19, 2016 · Upland, Ca
- W••• A••••••••• formerJul 11, 2014 to Dec 20, 2016 · Covina, Ca
- F•• S••••••••• C••••••••• formerMay 13, 2013 to Jul 9, 2014 · Covina, Ca
- O•••• W•••••• I••• BD affiliatedDec 18, 2008 to Feb 5, 2013 · San Francisco, Ca
- W••• A••••••••• formerDec 17, 2008 to May 14, 2013 · Covina, Ar
- B••••• • Y•••• A•••••••• I••• formerFeb 4, 2008 to Dec 23, 2008 · Covina, Ca
- W••• A••••••••• formerApr 14, 2000 to Feb 12, 2008 · Covina, Ca
- O•••• W•••••• I••• BD affiliatedJul 8, 1997 to Feb 13, 2008 · Covina, Ca
- W••• A••••••••• to C•••••••• F••••••••• I•••left Dec 20, 2016, registered Dec 19, 2016 (-1 days) · Other
- F•• S••••••••• C••••••••• to W••• A•••••••••left Jul 9, 2014, registered Jul 11, 2014 (2 days) · Other
- W••• A••••••••• to O•••• W•••••• I•••left May 14, 2013, registered Dec 18, 2008 (-1608 days) · Other
- O•••• W•••••• I••• to F•• S••••••••• C•••••••••left Feb 5, 2013, registered May 13, 2013 (97 days) · Other
- B••••• • Y•••• A•••••••• I••• to W••• A•••••••••left Dec 23, 2008, registered Dec 17, 2008 (-6 days) · Other
- O•••• W•••••• I••• to W••• A•••••••••left Feb 13, 2008, registered Apr 14, 2000 (-2861 days) · Other
- W••• A••••••••• to B••••• • Y•••• A•••••••• I•••left Feb 12, 2008, registered Feb 4, 2008 (-8 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address