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••••• E•••••• E••••••
- C•• S•••••••• W••••• M••••••••• state registered currentsince Dec 20, 2021 · Temecula, Ca
- S•• I••••••••• A•••••••• I••• formerMar 4, 2015 to Nov 11, 2015 · Fresno, Ca
- L•• F•••••••• L•• BD affiliatedDec 21, 2010 to Feb 12, 2015 · Murrieta, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 13, 2008 to Dec 6, 2010 · Phoenix, Az
- C•••• I••••••••• S••••••• C•••• formerApr 16, 2007 to Feb 4, 2008 · Glendale, Az
- S•• I••••••••• A•••••••• I••• to C•• S•••••••• W••••• M•••••••••left Nov 11, 2015, registered Dec 20, 2021 (2231 days) · Other
- L•• F•••••••• L•• to S•• I••••••••• A•••••••• I•••left Feb 12, 2015, registered Mar 4, 2015 (20 days) · Other
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left Dec 6, 2010, registered Dec 21, 2010 (15 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Feb 4, 2008, registered Feb 13, 2008 (9 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address