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••••• T••••• A••••
- O•••• I••••••••• I••• BD affiliated currentsince May 4, 2022 · Brea, Ca
- L•• F•••••••• L•• BD affiliatedJun 20, 2011 to May 18, 2022 · Orange, Ca
- C••• B•••••••• S•••••••• I••• formerMay 18, 2010 to Jun 21, 2011 · Brea, Ca
- C••••••••• W••••• M••••••••• unclassifiedJul 6, 2006 to Dec 31, 2007 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedJul 13, 2004 to Jun 29, 2006 · Moreno Valley, Ca
- C••••••• I••••••••• S••••••• unclassifiedMay 17, 2004 to Jun 25, 2004 · Banning, Ca
- W••• I••••••••• I••• unclassifiedMar 27, 2002 to Apr 1, 2002 · Murrieta, Ca
- L•• F•••••••• L•• to O•••• I••••••••• I•••left May 18, 2022, registered May 4, 2022 (-14 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 21, 2011, registered Jun 20, 2011 (-1 days) · Other
- C••••••••• W••••• M••••••••• to C••• B•••••••• S•••••••• I•••left Dec 31, 2007, registered May 18, 2010 (869 days) · Other
- W••• I••••••••• I••• to C••••••••• W••••• M•••••••••left Jun 29, 2006, registered Jul 6, 2006 (7 days) · Other
- C••••••• I••••••••• S••••••• to W••• I••••••••• I•••left Jun 25, 2004, registered Jul 13, 2004 (18 days) · Other
- W••• I••••••••• I••• to C••••••• I••••••••• S•••••••left Apr 1, 2002, registered May 17, 2004 (777 days) · Other
- G••••• T••••• A•••• left L•• F•••••••• L•• for O•••• I••••••••• I••• (registered 2022-05-04)May 18, 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
- 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