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.
T••• C••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 17, 2017 · Orange, Ca
- I••••••••• C•••••• O• A••••••• I••• formerSep 18, 2014 to Oct 17, 2017 · Orange, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerApr 19, 2011 to Sep 29, 2014 · Santa Ana, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Apr 15, 2011 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedJan 30, 2009 to May 2, 2009 · Irvine, Ca
- L•• F•••••••• L•• BD affiliatedSep 19, 2008 to Jan 13, 2009 · Eastvale, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to May 24, 2005 · Cerritos, Ca
- I••••••••• C•••••• O• A••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 17, 2017, registered Oct 17, 2017 (0 days) · Other · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to I••••••••• C•••••• O• A••••••• I•••left Sep 29, 2014, registered Sep 18, 2014 (-11 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••••••• I••••••••• S•••••••• I••• •••••left Apr 15, 2011, registered Apr 19, 2011 (4 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to W••• I••••••••• I•••left Jan 13, 2009, registered Jan 30, 2009 (17 days) · Other
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left May 24, 2005, registered Sep 19, 2008 (1214 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