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.
F•••• C•••••• P••••••
- C••••• • A••••••••• I••• independent RIA currentsince Sep 16, 2014 · Tampa, Fl
- L••••••• S••••••••• C•••• BD affiliatedDec 19, 2012 to Sep 17, 2014 · Long Beach, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJul 20, 2006 to Dec 21, 2010 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 7, 2005 to Jul 11, 2006 · Newport, Ca
- L••••••• S••••••••• C•••• to C••••• • A••••••••• I•••left Sep 17, 2014, registered Sep 16, 2014 (-1 days) · Other
- U••• B•••••• A•••••••• L•• to L••••••• S••••••••• C••••left Dec 21, 2010, registered Dec 19, 2012 (729 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• A•••••••• L••left Jul 11, 2006, registered Jul 20, 2006 (9 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address