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.
Y••••• R•••• O•••••
- O•••••• F•••••••• M••••••••• I••• former currentsince Apr 29, 2016 · Lake Forest, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 6, 2012 to May 16, 2016 · San Diego, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 26, 2003 to Feb 9, 2012 · Mission Viejo, Ca
- I••••••••• F•••••••• G••••• L•• to O•••••• F•••••••• M••••••••• I•••left May 16, 2016, registered Apr 29, 2016 (-17 days) · Other · moved with a team
- C••••• I••••••••• A••••••• L•• to I••••••••• F•••••••• G••••• L••left Feb 9, 2012, registered Feb 6, 2012 (-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
- Former SEC-registered adviserderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address