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••••• O••• R••••••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Sep 17, 2021 · Rancho Cucamonga, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 31, 2010 to Sep 17, 2021 · Rancho Cucamonga, Ca
- L•••• C•••••• G•••• formerApr 15, 2010 to Jul 16, 2010 · San Diego, Ca
- R•••••• J• L•••• C••••••••• I••• unclassifiedJan 21, 2010 to Jul 16, 2010 · San Diego, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJan 1, 2007 to Sep 10, 2010 · Ontario, Ca
- F•• A••••••• S••••••• I•• unclassifiedAug 17, 2001 to Jan 1, 2007 · Rancho Cucamonga, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• to B••••••••• C•••••• M••••••••• L••left Sep 17, 2021, registered Sep 17, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• A••••• A••••••• S•••••••• I••• to R•••••• J• L•••• C••••••••• I•••left Sep 10, 2010, registered Jan 21, 2010 (-232 days) · Other
- R•••••• J• L•••• C••••••••• I••• to L•••• C•••••• G••••left Jul 16, 2010, registered Apr 15, 2010 (-92 days) · Other
- L•••• C•••••• G•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 16, 2010, registered Aug 31, 2010 (46 days) · Other
- F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left Jan 1, 2007, registered Jan 1, 2007 (0 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address