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.
D•••••• B••• C•••••
- B••• G••••• • C••••••• I••• independent RIA currentsince Oct 29, 2010 · Orange, Ca
- C••• B•••••••• S•••••••• I••• formerNov 4, 2008 to Nov 4, 2010 · Orange, Ca
- I••• S••••••••• I••• unclassifiedMar 17, 2008 to Apr 4, 2008 · Irvine, Ca
- I••• S••••••••• I••• unclassifiedAug 1, 2007 to Mar 11, 2008 · Irvine, Ca
- D•• I••••••• S••••••• unclassifiedJan 16, 2003 to Oct 1, 2007 · Honolulu, Hi
- C••• B•••••••• S•••••••• I••• to B••• G••••• • C••••••• I•••left Nov 4, 2010, registered Oct 29, 2010 (-6 days) · Other
- I••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Apr 4, 2008, registered Nov 4, 2008 (214 days) · Other
- D•• I••••••• S••••••• to I••• S••••••••• I•••left Oct 1, 2007, registered Aug 1, 2007 (-61 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address