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.
- S••••••••• W••••• mixed wealth currentsince Feb 13, 2025 · La Verne, Ca
- L•••••• A•••• M••••••••• formerNov 3, 2020 to Feb 14, 2025 · La Verne, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 28, 2010 to Nov 3, 2020 · Orange, Ca
- S••••••••• S••••••••• I••• unclassifiedJan 28, 2000 to Dec 31, 2004 · New Port Beach, Ca
- L•••••• A•••• M••••••••• to S••••••••• W•••••left Feb 14, 2025, registered Feb 13, 2025 (-1 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to L•••••• A•••• M•••••••••left Nov 3, 2020, registered Nov 3, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Dec 31, 2004, registered Jan 28, 2010 (1854 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address