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••••• N•••••• B•••••••
- A••••• W••••• I••••••••• •••• state registered currentsince Jan 1, 2025 · Santa Ana, Ca
- C•••• B••••• W•••••• L•• independent RIAJan 21, 2020 to Oct 19, 2021 · New York, Ny
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 24, 2009 to Dec 31, 2014 · Laguna Niguel, Ca
- F•• S••••••••• C••••••••• formerApr 21, 2005 to Apr 3, 2009 · Irvine, Ca
- C•••• B••••• W•••••• L•• to A••••• W••••• I••••••••• ••••left Oct 19, 2021, registered Jan 1, 2025 (1170 days) · RIA to a state-registered adviser
- V••• F•••••••• A•••••••• I••• to C•••• B••••• W•••••• L••left Dec 31, 2014, registered Jan 21, 2020 (1847 days) · Other
- F•• S••••••••• C••••••••• to V••• F•••••••• A•••••••• I•••left Apr 3, 2009, registered Apr 24, 2009 (21 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
- STATE REGISTEREDderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address