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.
J••• W••••• P••••
- W••••• A•••••••• P•••••••• L•• independent RIA currentsince Aug 23, 2017 · San Clemente, Ca
- S•••••••• A••••••• L•• national BDOct 29, 2009 to Mar 6, 2017 · Mission Viejo, Ca
- C••• B•••••••• S•••••••• I••• formerFeb 26, 2009 to Oct 12, 2009 · San Juan Capistrano, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 13, 2005 to Dec 12, 2008 · Portland, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Apr 14, 2005 · Portland, Or
- S•••••••• A••••••• L•• to W••••• A•••••••• P•••••••• L••left Mar 6, 2017, registered Aug 23, 2017 (170 days) · Other
- C••• B•••••••• S•••••••• I••• to S•••••••• A••••••• L••left Oct 12, 2009, registered Oct 29, 2009 (17 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••• B•••••••• S•••••••• I•••left Dec 12, 2008, registered Feb 26, 2009 (76 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 14, 2005, registered Apr 13, 2005 (-1 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address