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••• T•••••• M•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 16, 2020 · Show Low, Az
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 16, 2020 · Show Low, Az
- M••••• S•••••• wirehouseSep 9, 2011 to Jul 11, 2012 · Long Beach, Ca
- R•••••• J•••• • A••••••••• I••• national BDJan 23, 2008 to Aug 16, 2011 · Rolling Hills Estates, Ca
- Y••••••• C•••••• M••••••••• independent RIAAug 9, 2005 to Nov 8, 2007 · Tustin, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 13, 2003 to Dec 19, 2003 · Newport Beach, Ca
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 11, 2012, registered Sep 16, 2020 (2989 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Aug 16, 2011, registered Sep 9, 2011 (24 days) · Affiliated broker-dealer or bank to wirehouse
- Y••••••• C•••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Nov 8, 2007, registered Jan 23, 2008 (76 days) · Other
- U•• F•••••••• S••••••• I••• to Y••••••• C•••••• M•••••••••left Dec 19, 2003, registered Aug 9, 2005 (599 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