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.
A••••• C••••• A•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 30, 2023 · Huntington Beach, Ca
- W•••••• S••••••••• I••• BD affiliatedJan 2, 2009 to Jul 11, 2023 · Seal Beach, Ca
- F•••• W••• S••••• C•••• unclassifiedJun 25, 2001 to Dec 31, 2008 · Seal Beach, Ca
- W•••••• S••••••••• I••• to L•• F•••••••• L••left Jul 11, 2023, registered Jun 30, 2023 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••• W••• S••••• C•••• to W•••••• S••••••••• I•••left Dec 31, 2008, registered Jan 2, 2009 (2 days) · Other
- A••••• C••••• A••••••• left W•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-06-30)Jul 11, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address