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.
S•••• M••••• L•••••••
- T•• A•••••••• I••• BD affiliated currentsince Apr 18, 2017 · Summit, Nj
- C•••••• A••••••• BD affiliatedJun 4, 2012 to Jan 18, 2017 · Irvine, Ca
- L•••••• I••••••••• independent RIAJun 1, 2012 to Jan 18, 2017 · Laguna Hills, Ca
- C••••••••• A•••••••• I•• formerMay 12, 2004 to Jun 1, 2012 · Irvine, Ca
- C•••••• A••••••• to T•• A•••••••• I•••left Jan 18, 2017, registered Apr 18, 2017 (90 days) · Other
- L•••••• I••••••••• to C•••••• A•••••••left Jan 18, 2017, registered Jun 4, 2012 (-1689 days) · Other
- C••••••••• A•••••••• I•• to L•••••• I•••••••••left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address