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.
L••• L••• L••••••••
- L•••••••• F•••••••• G••••• I•• independent RIA currentsince Nov 8, 2021 · N•••••• Beach, Ca
- N•••••• W••••• S••••••••• I••• formerFeb 8, 2012 to Jan 23, 2013 · Irvine, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 28, 2008 to Nov 23, 2021 · N•••••• Beach, Ca
- O•••• F•• I••• formerOct 19, 1998 to Jan 29, 2008 · Irvine, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• to N•••••• W••••• S••••••••• I•••left Nov 23, 2021, registered Feb 8, 2012 (-3576 days) · Other
- N•••••• W••••• S••••••••• I••• to L•••••••• F•••••••• G••••• I••left Jan 23, 2013, registered Nov 8, 2021 (3211 days) · Other
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 29, 2008, registered Jan 28, 2008 (-1 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