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.
M••• A• G•••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 29, 2021 · Brea, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 7, 2018 to Mar 27, 2021 · Huntington Beach, Ca
- S•••••••• I••••••••• M••••••••• formerSep 16, 2016 to Mar 8, 2018 · Saint Louis, Mo
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 6, 2004 to Jan 29, 2009 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDMay 31, 2000 to Apr 29, 2004 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Mar 27, 2021, registered Apr 29, 2021 (33 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2018, registered May 7, 2018 (60 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to S•••••••• I••••••••• M•••••••••left Jan 29, 2009, registered Sep 16, 2016 (2787 days) · Other
- C•••••• S••••• • C••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 29, 2004, registered May 6, 2004 (7 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address