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.
R•••••• G•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Whittier, Ca
- O•••• F•• I••• formerMar 17, 2017 to Jan 24, 2025 · Whittier, Ca
- C••••••• A••••••• N••••••• L•• independent RIAAug 3, 2016 to Mar 7, 2017 · Aliso Viejo, Ca
- I••••• F•••••••• C••••••••• formerAug 1, 2012 to Jul 6, 2016 · West Covina, Ca
- E•••• N••••••• S••••••••• I••• formerSep 1, 2009 to Jul 2, 2012 · Arcadia, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 16, 2008 to Aug 21, 2009 · Rosemead, Ca
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- C••••••• A••••••• N••••••• L•• to O•••• F•• I•••left Mar 7, 2017, registered Mar 17, 2017 (10 days) · Other
- I••••• F•••••••• C••••••••• to C••••••• A••••••• N••••••• L••left Jul 6, 2016, registered Aug 3, 2016 (28 days) · Other
- E•••• N••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Jul 2, 2012, registered Aug 1, 2012 (30 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to E•••• N••••••• S••••••••• I•••left Aug 21, 2009, registered Sep 1, 2009 (11 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address