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.
R••••• J•••• B••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Jul 12, 2010 · Fullerton, Ca
- B•••••••• W••••• M••••••••• G•••• unclassifiedJul 2, 2010 to Dec 22, 2020 · Fullerton, Ca
- L•• F•••••••• L•• BD affiliatedJan 27, 2006 to May 10, 2010 · Fullerton, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 23, 2004 to Jan 31, 2006 · Fullerton, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Apr 26, 2004 · Whittier, Ca
- B•••••••• W••••• M••••••••• G•••• to C•••••••• F••••••••• I•••left Dec 22, 2020, registered Jul 12, 2010 (-3816 days) · Other
- L•• F•••••••• L•• to B•••••••• W••••• M••••••••• G••••left May 10, 2010, registered Jul 2, 2010 (53 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Jan 31, 2006, registered Jan 27, 2006 (-4 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 26, 2004, registered Apr 23, 2004 (-3 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