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.
W••••• Y••• Y•• L••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 21, 2017 · Fullerton, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 18, 2013 to Mar 7, 2017 · Fullerton, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 14, 2009 to Dec 18, 2013 · Fullerton, Ca
- A••••••• G•••••• F•••••••• A•••••••• I••• unclassifiedMar 15, 2005 to Apr 2, 2009 · Glendale, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 4, 2004 to Feb 23, 2009 · Woodland Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 25, 2000 to Oct 11, 2004 · Pasadena, Ca
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Mar 7, 2017, registered Feb 21, 2017 (-14 days) · Other
- V••• F•••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 18, 2013, registered Dec 18, 2013 (0 days) · Other
- A••••••• G•••••• F•••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Apr 2, 2009, registered May 14, 2009 (42 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••••• G•••••• F•••••••• A•••••••• I•••left Feb 23, 2009, registered Mar 15, 2005 (-1441 days) · Other
- C•••••••• G••••• M•••••• I••• to V•••• F•••••••• A•••••••• I•••left Oct 11, 2004, registered Oct 4, 2004 (-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
- 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