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•••• A••••• S•••••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Jan 13, 2022 · Newport Beach, Ca
- A•••• C•••• I••••••••• L•• formerApr 3, 2015 to Jul 12, 2021 · Costa Mesa, Ca
- N•••••• W••••• S••••••••• I••• formerDec 19, 2011 to Dec 31, 2021 · Irvine, Ca
- C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• managerJan 17, 2007 to Nov 15, 2011 · N•••••• Beach, Ca
- F•• A••••••• L•• formerJan 8, 1998 to Nov 8, 2006 · Irvine, Ca
- F•• S••••••••• C••••••••• formerJul 22, 1997 to Dec 6, 2005 · Irvine, Ca
- N•••••• W••••• S••••••••• I••• to A•••• C•••• I••••••••• L••left Dec 31, 2021, registered Apr 3, 2015 (-2464 days) · Other
- A•••• C•••• I••••••••• L•• to B••••• P••••• A•••••••• L••left Jul 12, 2021, registered Jan 13, 2022 (185 days) · RIA to RIA
- C••••••• P••••••• I••••••••• A•••••••• L•• to N•••••• W••••• S••••••••• I•••left Nov 15, 2011, registered Dec 19, 2011 (34 days) · Other
- F•• A••••••• L•• to C••••••• P••••••• I••••••••• A•••••••• L••left Nov 8, 2006, registered Jan 17, 2007 (70 days) · Other
- F•• S••••••••• C••••••••• to F•• A••••••• L••left Dec 6, 2005, registered Jan 8, 1998 (-2889 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