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.
C•••••• A•••• K••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Feb 15, 2013 · Lake Forest, Ca
- W••••• S••••• S••••••••• I••• formerDec 15, 2003 to Feb 21, 2013 · San Juan Capistrano, Ca
- W••••• S••••• A••••••• I•• unclassifiedMar 15, 1995 to Nov 2, 2006 · Laguna Hills, Ca
- W••••• S••••• S••••••••• I••• to J• W• C••• A•••••••• I•••left Feb 21, 2013, registered Feb 15, 2013 (-6 days) · Other
- W••••• S••••• A••••••• I•• to W••••• S••••• S••••••••• I•••left Nov 2, 2006, registered Dec 15, 2003 (-1053 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 52derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address