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.
H••• P••• N•••••
- G••••••• F•••••••• P•••••••• L•• mixed wealth currentsince Apr 28, 2017 · Orange, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 1, 2017 · Newport Beach, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · Newport Bch, Ca
- W•••• F•••• A••••••• to G••••••• F•••••••• P•••••••• L••left May 1, 2017, registered Apr 28, 2017 (-3 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address