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••• D••••• H•••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Apr 13, 2016 · Upland, Ca
- W••••• F•••••••• S•••••••• L•• formerJun 17, 2003 to May 20, 2015 · El Monte, Ca
- C••• F•••••••• S•••••••• L••• formerMar 25, 2002 to Aug 31, 2004 · Pasadena, Ca
- W••••• F•••••••• S•••••••• L•• to C•••••••• F••••••••• I•••left May 20, 2015, registered Apr 13, 2016 (329 days) · Other
- C••• F•••••••• S•••••••• L••• to W••••• F•••••••• S•••••••• L••left Aug 31, 2004, registered Jun 17, 2003 (-441 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address