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.
C•••••• R•••••••
- A• W••••• M••••••••• L•• BD affiliated currentsince Oct 3, 2018 · Palm Desert, Ca
- G••••• F•••••••• P•••••• C••••••• I••• formerJan 30, 2015 to Oct 2, 2018 · Upland, Ca
- P•• F•••••••• S••••••• L•• unclassifiedJul 14, 2011 to Feb 4, 2015 · San Dimas, Ca
- R••• F•••••••• G••••• L•• independent RIANov 23, 2009 to Sep 14, 2011 · San Dimas, Ca
- B••••••••• C•••••• M••••••••• L•• independent RIANov 10, 2008 to Jan 14, 2010 · San Diego, Ca
- G••••• F•••••••• P•••••• C••••••• I••• to A• W••••• M••••••••• L••left Oct 2, 2018, registered Oct 3, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
- P•• F•••••••• S••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Feb 4, 2015, registered Jan 30, 2015 (-5 days) · Other
- R••• F•••••••• G••••• L•• to P•• F•••••••• S••••••• L••left Sep 14, 2011, registered Jul 14, 2011 (-62 days) · Other
- B••••••••• C•••••• M••••••••• L•• to R••• F•••••••• G••••• L••left Jan 14, 2010, registered Nov 23, 2009 (-52 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address