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.
M••• D•••• T•••••
- W•• F•••••••• S••••••• state registered currentsince Mar 8, 2018 · Anaheim, Ca
- G••••• I••••••••• S••••••••• L•• state registeredJun 20, 2016 to Jun 25, 2018 · Anaheim, Ca
- R• • E• D••••• A•• A••••••••• L•• unclassifiedAug 14, 2012 to Aug 29, 2016 · Villa Park, Ca
- R•••••• W••••• A•••••••• I••• independent RIAJan 4, 2012 to Jan 23, 2012 · Villa Park, Ca
- C•••••• S••••••••• I••• unclassifiedNov 17, 2009 to Aug 25, 2011 · Lakewood, Co
- W•••••• S••••••••• C••••••••• unclassifiedSep 23, 2008 to Nov 12, 2009 · Eden Prairie, Mn
- C•••••• S••••••••• I••• unclassifiedFeb 2, 2007 to Sep 16, 2008 · San Marino, Ca
- U••••• S••••••••• A•••••••• I••• unclassifiedSep 20, 2004 to Feb 5, 2007 · Lake Forest, Ca
- W••• S••••• F•••••••• G••••• I•• formerApr 5, 2002 to Sep 21, 2004 · Lake Forest, Ca
- G••••• I••••••••• S••••••••• L•• to W•• F•••••••• S•••••••left Jun 25, 2018, registered Mar 8, 2018 (-109 days) · Other
- R• • E• D••••• A•• A••••••••• L•• to G••••• I••••••••• S••••••••• L••left Aug 29, 2016, registered Jun 20, 2016 (-70 days) · Other
- R•••••• W••••• A•••••••• I••• to R• • E• D••••• A•• A••••••••• L••left Jan 23, 2012, registered Aug 14, 2012 (204 days) · Other
- C•••••• S••••••••• I••• to R•••••• W••••• A•••••••• I•••left Aug 25, 2011, registered Jan 4, 2012 (132 days) · Other
- W•••••• S••••••••• C••••••••• to C•••••• S••••••••• I•••left Nov 12, 2009, registered Nov 17, 2009 (5 days) · Other
- C•••••• S••••••••• I••• to W•••••• S••••••••• C•••••••••left Sep 16, 2008, registered Sep 23, 2008 (7 days) · Other
- U••••• S••••••••• A•••••••• I••• to C•••••• S••••••••• I•••left Feb 5, 2007, registered Feb 2, 2007 (-3 days) · Other
- W••• S••••• F•••••••• G••••• I•• to U••••• S••••••••• A•••••••• I•••left Sep 21, 2004, registered Sep 20, 2004 (-1 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