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.
P•••••• L••• H•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 12, 2020 · Laguna Niguel, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerFeb 3, 2012 to Nov 12, 2020 · San Diego, Ca
- P•••••• W••• F•••••••• C••••••••• I•• formerJul 6, 2007 to Feb 3, 2012 · Renton, Wa
- B••••••••• S••••••••• C••••••••• unclassifiedNov 5, 2004 to Jul 13, 2007 · Newport Beach, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 19, 2003 to Oct 28, 2004 · Tustin, Ca
- S•••• I••••••••• A••••••• I••••••••• state registeredDec 7, 2001 to Nov 25, 2002 · Irvine, Ca
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- P•••••• W••• F•••••••• C••••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left Feb 3, 2012, registered Feb 3, 2012 (0 days) · Other
- B••••••••• S••••••••• C••••••••• to P•••••• W••• F•••••••• C••••••••• I••left Jul 13, 2007, registered Jul 6, 2007 (-7 days) · Other
- C••••••• I••••••••• S••••••• to B••••••••• S••••••••• C•••••••••left Oct 28, 2004, registered Nov 5, 2004 (8 days) · Other
- S•••• I••••••••• A••••••• I••••••••• to C••••••• I••••••••• S•••••••left Nov 25, 2002, registered Mar 19, 2003 (114 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address