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.
D•••• A••••• N•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 24, 2013 · West Covina, Ca
- C•••••• M••••••••• P•••••••• L•• unclassifiedOct 2, 2012 to Apr 26, 2013 · Garden Grove, Ca
- C••••••• W••••• • C•• formerDec 31, 1997 to Apr 3, 2012 · West Covina, Ca
- C•••••• M••••••••• P•••••••• L•• to L•• F•••••••• L••left Apr 26, 2013, registered Apr 24, 2013 (-2 days) · Other
- C••••••• W••••• • C•• to C•••••• M••••••••• P•••••••• L••left Apr 3, 2012, registered Oct 2, 2012 (182 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