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.
T••• D•••• M••
- W•••••• S••••••••• I••• BD affiliated currentsince Feb 11, 2020 · Newport Beach, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 29, 2009 to Feb 14, 2020 · Mission Viejo, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 2, 2009 · Laguna Niguel, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Laguna Woods, Ca
- M••••• S•••••• D• I••• unclassifiedAug 27, 2004 to Apr 2, 2007 · Irvine, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 31, 1999 to Sep 13, 2004 · Bakersfield, Ca
- S•••••• N••••••• • C••••••• I••••••••• to W•••••• S••••••••• I•••left Feb 14, 2020, registered Feb 11, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 2, 2009, registered Oct 29, 2009 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Sep 13, 2004, registered Aug 27, 2004 (-17 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address