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.
B••••••• D••••• C•••••
- B•• W••••• M••••••••• I••• state registered currentsince Jan 2, 2025 · Glendale, Ca
- C•••••••• F••••••••• I••• BD affiliated currentsince Jan 2, 2025 · Glendale, Ca
- L•• F•••••••• L•• BD affiliatedSep 1, 2016 to Dec 6, 2019 · Pasadena, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Sep 22, 2016 · Pasadena, Ca
- F•••• A••••• S••••••••• I••• formerJun 4, 2009 to Jul 2, 2012 · La Canada, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedOct 2, 2001 to Dec 11, 2007 · Pasadena, Ca
- L•• F•••••••• L•• to B•• W••••• M••••••••• I•••left Dec 6, 2019, registered Jan 2, 2025 (1854 days) · Affiliated broker-dealer or bank to a state-registered adviser
- F•••• A••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 22, 2016, registered Sep 1, 2016 (-21 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- A••••••••• P••••••• I••••••••• A••••••• I•• to F•••• A••••• S••••••••• I•••left Dec 11, 2007, registered Jun 4, 2009 (541 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address