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.
G••• A•••• G•••••
- C••••• • A••••••••• I••• independent RIA currentsince Jan 1, 2025 · Corona, Ca
- W•••••• S••••••••• I••• BD affiliatedAug 23, 2011 to May 15, 2015 · Ontario, Ca
- C••••••• W••••• • C•• formerApr 11, 2007 to Aug 23, 2011 · West Covina, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Nov 23, 2004 · Claremont, Ca
- P••••••••• E••••• G••••• L•• unclassifiedApr 5, 2001 to Jul 1, 2003 · Pasadena, Ca
- W•••••• S••••••••• I••• to C••••• • A••••••••• I•••left May 15, 2015, registered Jan 1, 2025 (3519 days) · Other
- C••••••• W••••• • C•• to W•••••• S••••••••• I•••left Aug 23, 2011, registered Aug 23, 2011 (0 days) · Other
- W•••• F•••• A••••••• to C••••••• W••••• • C••left Nov 23, 2004, registered Apr 11, 2007 (869 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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