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••••••• V••••••••• M•••••
- M••••• S•••••• wirehouse currentsince Jul 8, 2021 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 13, 2021 · Laguna Beach, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 14, 2007 to Jan 3, 2011 · Laguna Beach, Ca
- C••• P•••••• W••••• A•••••••• I••• BD affiliatedJan 1, 2001 to Apr 24, 2007 · Newport Beach, Ca
- W•••• F•••• A••••••• to M••••• S••••••left Jul 13, 2021, registered Jul 8, 2021 (-5 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C••• P•••••• W••••• A•••••••• I••• to W•••• F•••• I••••••••• L••left Apr 24, 2007, registered Jun 14, 2007 (51 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address