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.
- C••• L•• BD affiliated currentsince May 5, 2023 · Crossville, Tn
- S••••••••• A•••• M••••••••• L•• formerMar 9, 2017 to Mar 19, 2024 · Irvine, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedApr 27, 2011 to Feb 22, 2017 · Irvine, Ca
- W•• S••••••••• unclassifiedJul 9, 2009 to May 3, 2011 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedNov 8, 2007 to Feb 10, 2009 · Corona, Ca
- H• B•••• I••• formerFeb 3, 2005 to Oct 31, 2007 · Riverside, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJun 18, 2002 to Dec 14, 2004 · Riverside, Ca
- S••••••••• A•••• M••••••••• L•• to C••• L••left Mar 19, 2024, registered May 5, 2023 (-319 days) · RIA to affiliated broker-dealer or bank
- I••••••••• F•••••••• G••••• L•• to S••••••••• A•••• M••••••••• L••left Feb 22, 2017, registered Mar 9, 2017 (15 days) · Other
- W•• S••••••••• to I••••••••• F•••••••• G••••• L••left May 3, 2011, registered Apr 27, 2011 (-6 days) · Other
- W••• I••••••••• I••• to W•• S•••••••••left Feb 10, 2009, registered Jul 9, 2009 (149 days) · Other
- H• B•••• I••• to W••• I••••••••• I•••left Oct 31, 2007, registered Nov 8, 2007 (8 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to H• B•••• I•••left Dec 14, 2004, registered Feb 3, 2005 (51 days) · Other
- S•••• A••••• H••••• left S••••••••• A•••• M••••••••• L•• for C••• L•• (registered 2023-05-05)Mar 19, 2024 · 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