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.
D•••• S••••• L••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 1, 2007 · Laguna Niguel, Ca
- W••••••••• A•••••••• I••• formerJan 28, 2010 to Jan 24, 2019 · Westlake Village, Ca
- C••••••••• W••••• M••••••••• independent RIAOct 4, 2007 to Jan 15, 2010 · Aliso Viejo, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Oct 8, 2007 · Laguna Niguel, Ca
- W••••••••• A•••••••• I••• to no registered destinationleft Jan 24, 2019 · Departure, no registered destination
- C••••••••• W••••• M••••••••• to W••••••••• A•••••••• I•••left Jan 15, 2010, registered Jan 28, 2010 (13 days) · Other
- C•••••••• G••••• M•••••• I••• to O•••• W•••••• I•••left Oct 8, 2007, registered Oct 1, 2007 (-7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address