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.
I•••••• A•••••••• J••••••
- C••••• P••••••• L•• independent RIA currentsince Feb 13, 2013 · Costa Mesa, Ca
- M•••••••• A••••••• formerNov 16, 2006 to Nov 16, 2012 · Irvine, Ca
- T•• A••••••• S••••••• C••••••••• unclassifiedJan 10, 2006 to Apr 26, 2007 · Los Angeles, Ca
- S••••••• F•••••••• S•••••••• I••• formerFeb 13, 2003 to Jul 22, 2005 · Newport Beach, Ca
- M•••••••• A••••••• to C••••• P••••••• L••left Nov 16, 2012, registered Feb 13, 2013 (89 days) · Other
- T•• A••••••• S••••••• C••••••••• to M•••••••• A•••••••left Apr 26, 2007, registered Nov 16, 2006 (-161 days) · Other
- S••••••• F•••••••• S•••••••• I••• to T•• A••••••• S••••••• C•••••••••left Jul 22, 2005, registered Jan 10, 2006 (172 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address