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.
C•••• M•••••• B••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2019 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseFeb 11, 2009 to Apr 5, 2019 · Newport Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 12, 2009 · Laguna Woods, Ca
- M••••• S•••••• D• I••• unclassifiedAug 20, 1999 to Apr 2, 2007 · Laguna Woods, Ca
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 5, 2019, registered Apr 4, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Feb 12, 2009, registered Feb 11, 2009 (-1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address