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.
E•••••• L•••••
- B••• G••••• • C••••••• I••• independent RIA currentsince Sep 8, 2023 · Orange, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 8, 2012 to Dec 1, 2020 · Los Angeles, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 9, 2010 to Feb 14, 2011 · El Segundo, Ca
- C•••• I••••••••• S••••••• C•••• formerNov 6, 2009 to May 4, 2010 · San Clemente, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to May 27, 2009 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedJul 25, 2006 to May 2, 2009 · Irvine, Ca
- U••• B•••••• A•••••••• L•• to B••• G••••• • C••••••• I•••left Dec 1, 2020, registered Sep 8, 2023 (1011 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to U••• B•••••• A•••••••• L••left Feb 14, 2011, registered Nov 8, 2012 (633 days) · Other
- C•••• I••••••••• S••••••• C•••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left May 4, 2010, registered Jul 9, 2010 (66 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address