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•••••• A••• G••••••
- B••••• W••••• P•••••••• I••• independent RIA currentsince Feb 1, 2016 · Scottsdale, Az
- A•••• W••••• A•••••••• L•• BD affiliatedJun 9, 2016 to Dec 16, 2016 · Newport Beach, Ca
- D••••• W••••• A••••••• formerNov 12, 2015 to Feb 22, 2016 · Newport Beach, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 19, 2014 · Irvine, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Irvine, Ca
- M••••• S•••••• D• I••• unclassifiedDec 18, 2001 to Apr 2, 2007 · Newport Beach, Ca
- A•••• W••••• A•••••••• L•• to no registered destinationleft Dec 16, 2016 · Departure, no registered destination
- D••••• W••••• A••••••• to B••••• W••••• P•••••••• I•••left Feb 22, 2016, registered Feb 1, 2016 (-21 days) · Other
- M••••• S•••••• to D••••• W••••• A•••••••left Mar 19, 2014, registered Nov 12, 2015 (603 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address