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•••••• C•••••••
- E•••••••• S•••••••• L•• state registered currentsince Sep 11, 2017 · Newport Beach, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedJun 29, 2015 to May 23, 2016 · Irvine, Ca
- C•••••• M•••••• I•• L•• i••••••••• wealthMar 20, 2012 to Jun 29, 2015 · Irvine, Ca
- C•••••• W••••• M••••••••• formerSep 6, 2011 to Jun 26, 2015 · Irvine, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 14, 2011 · Irvine, Ca
- M••••• S•••••• • C•• L•• unclassifiedAug 3, 2007 to Jun 1, 2009 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 17, 1998 to Aug 6, 2007 · Newport Beach, Ca
- I••••••••• F•••••••• G••••• L•• to E•••••••• S•••••••• L••left May 23, 2016, registered Sep 11, 2017 (476 days) · Other
- C•••••• M•••••• I•• L•• to I••••••••• F•••••••• G••••• L••left Jun 29, 2015, registered Jun 29, 2015 (0 days) · Other
- C•••••• W••••• M••••••••• to C•••••• M•••••• I•• L••left Jun 26, 2015, registered Mar 20, 2012 (-1193 days) · Other
- M••••• S•••••• to C•••••• W••••• M•••••••••left Sep 14, 2011, registered Sep 6, 2011 (-8 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Aug 6, 2007, registered Aug 3, 2007 (-3 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address