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•• D• S•
- P••••••••• B•••••••• S•••••••• I••• independent RIA currentsince Oct 12, 2018 · City Of Industry, Ca
- F•••••••• E••••• S•••••••• I••• formerMay 17, 2010 to Oct 12, 2018 · Rancho Cucaonga, Ca
- W••• I••••••••• I••• unclassifiedDec 12, 2006 to Apr 16, 2009 · Arcadia, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 12, 2003 to Dec 5, 2006 · Duarte, Ca
- L•• F•••••••• L•• BD affiliatedJul 15, 2003 to Nov 13, 2003 · Monterey Park, Ca
- I••• S••••••••• I••• unclassifiedMay 21, 2003 to Jul 8, 2003 · Montery Park, Ca
- F•••••••• E••••• S•••••••• I••• to P••••••••• B•••••••• S•••••••• I•••left Oct 12, 2018, registered Oct 12, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W••• I••••••••• I••• to F•••••••• E••••• S•••••••• I•••left Apr 16, 2009, registered May 17, 2010 (396 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to W••• I••••••••• I•••left Dec 5, 2006, registered Dec 12, 2006 (7 days) · Other
- L•• F•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 13, 2003, registered Nov 12, 2003 (-1 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left Jul 8, 2003, registered Jul 15, 2003 (7 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address