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.
K•••••• J••• D•••••••
- P••••••••• S••••••••• C••••••••• independent RIA currentsince Jan 31, 2019 · Carpinteria, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 19, 2014 to Apr 26, 2017 · El Segundo, Ca
- M••••• S•••••• wirehouseApr 18, 2011 to Jun 17, 2013 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseJan 23, 2009 to Mar 31, 2011 · Newport Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 14, 2008 to Jan 27, 2009 · Long Beach, Ca
- F•• A••••••• L•• formerJun 25, 2001 to Jun 1, 2007 · Seal Beach, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to P••••••••• S••••••••• C•••••••••left Apr 26, 2017, registered Jan 31, 2019 (645 days) · Other
- M••••• S•••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jun 17, 2013, registered Aug 19, 2014 (428 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Mar 31, 2011, registered Apr 18, 2011 (18 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jan 27, 2009, registered Jan 23, 2009 (-4 days) · Other
- F•• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 1, 2007, registered Mar 14, 2008 (287 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address