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•••• G••••• Y••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Aug 2, 2022 · South Pasadena, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Aug 2, 2022 · South Pasadena, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 12, 2020 · South Pasadena, Ca
- F•••• A••••• S••••••••• I••• formerMar 10, 2009 to Jul 2, 2012 · South Pasadena, Ca
- G•••••• P•••••••• I••• unclassifiedJun 16, 2000 to Jan 2, 2023 · South Pasadena, Ca
- G•••••• P•••••••• I••• to F•••• A••••• S••••••••• I•••left Jan 2, 2023, registered Mar 10, 2009 (-5046 days) · Other
- C••••• I••••••••• A••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Aug 2, 2022, registered Aug 2, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- A•••• G••••• Y•• left G•••••• P•••••••• I••• for F•••• A••••• S••••••••• I••• (registered 2009-03-10)Jan 2, 2023 · Advisor changed firm · fact
- A•••• G••••• Y•• left C••••• I••••••••• A••••••• L•• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2022-08-02)Aug 2, 2022 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address