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.
E••• N••••••
- T••• I••••••••• A•••••••• L•• independent RIA currentsince Aug 10, 2020 · Laguna Niguel, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 13, 2019 · Rolling Hills Estates, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 12, 2001 to Jun 1, 2009 · Rolling Hills, Ca
- M••••• S•••••• to T••• I••••••••• A•••••••• L••left Mar 13, 2019, registered Aug 10, 2020 (516 days) · Wirehouse to independent RIA
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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