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.
Q••• W•• L••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Brea, Ca
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · Rowland Heights, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 7, 2023 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerSep 19, 2016 to Feb 26, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Nov 17, 2006 · Pasasena, Ca
- T• A••••••••• I••• formerApr 28, 2003 to Nov 17, 2006 · Monterey Park, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 7, 2023, registered Feb 27, 2018 (-2018 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Jan 26, 2022 (-261 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Nov 17, 2006, registered Sep 19, 2016 (3594 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 17, 2006, registered Apr 25, 2006 (-206 days) · channel change inside one enterprise, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address