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.
G•••••• A•••• R••••••
- A••••••• O• C••• state registered currentsince Feb 23, 2024 · Laguna Hills, Ca
- C••••••• A••••••• N••••••• L•• independent RIAOct 2, 2013 to Dec 6, 2022 · Laguna Hills, Ca
- I•••••••• A•••••••• L•• BD affiliatedJan 25, 2012 to Dec 4, 2012 · Urbandale, Ia
- O••••• W••••• M••••••••• unclassifiedJan 14, 2011 to Mar 15, 2012 · Irvine, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedApr 7, 2008 to Jan 5, 2011 · Newport, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 12, 2006 to Jan 7, 2008 · Ontario, Ca
- C••• B•••••••• S•••••••• I••• formerJan 27, 2006 to Jul 7, 2006 · Long Beach, Ca
- C••••••• A••••••• N••••••• L•• to A••••••• O• C•••left Dec 6, 2022, registered Feb 23, 2024 (444 days) · RIA to a state-registered adviser
- I•••••••• A•••••••• L•• to C••••••• A••••••• N••••••• L••left Dec 4, 2012, registered Oct 2, 2013 (302 days) · Other
- O••••• W••••• M••••••••• to I•••••••• A•••••••• L••left Mar 15, 2012, registered Jan 25, 2012 (-50 days) · Other
- B• R•••• W••••• A•••••••• I••• to O••••• W••••• M•••••••••left Jan 5, 2011, registered Jan 14, 2011 (9 days) · Other
- W•••• F•••• I••••••••• L•• to B• R•••• W••••• A•••••••• I•••left Jan 7, 2008, registered Apr 7, 2008 (91 days) · Other
- C••• B•••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Jul 7, 2006, registered Jul 12, 2006 (5 days) · Other
- G•••••• A•••• R•••••• left C••••••• A••••••• N••••••• L•• for A••••••• O• C••• (registered 2024-02-23)Dec 6, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address