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.
J••• J••••• A•••••
- W•••••• S••••••••• I••• BD affiliated currentsince Oct 25, 2016 · San Clemente, Ca
- R•••••• J•••• • A••••••••• I••• national BDNov 4, 2013 to Jun 27, 2016 · Newport Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 23, 2008 to Sep 19, 2013 · Newport Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 7, 2002 to Jul 2, 2008 · Irvine, Ca
- R•••••• J•••• • A••••••••• I••• to W•••••• S••••••••• I•••left Jun 27, 2016, registered Oct 25, 2016 (120 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Sep 19, 2013, registered Nov 4, 2013 (46 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 2, 2008, registered Jun 23, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address