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.
R•••••• W• J••••••
- S••••• F•••••••• independent RIA currentsince Jan 1, 2025 · Orange, Ca
- C•••• C•••••• S••••••••• L••• formerNov 30, 2015 to Mar 25, 2024 · Yorba Linda, Ca
- J• W• C••• A•••••••• I••• BD affiliatedJan 6, 2014 to Dec 24, 2014 · Orange, Ca
- L•• F•••••••• L•• BD affiliatedDec 31, 1997 to Dec 2, 2010 · Orange, Ca
- C•••• C•••••• S••••••••• L••• to S••••• F••••••••left Mar 25, 2024, registered Jan 1, 2025 (282 days) · Affiliated broker-dealer or bank to independent RIA
- J• W• C••• A•••••••• I••• to C•••• C•••••• S••••••••• L•••left Dec 24, 2014, registered Nov 30, 2015 (341 days) · Other
- L•• F•••••••• L•• to J• W• C••• A•••••••• I•••left Dec 2, 2010, registered Jan 6, 2014 (1131 days) · Other
- R•••••• W• J•••••• left C•••• C•••••• S••••••••• L••• for S••••• F•••••••• (registered 2025-01-01)Mar 25, 2024 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address