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.
B•••• A••• D••••••
- D•••••• W••••• M••••••••• state registered currentsince Dec 19, 2022 · Irvine, Ca
- M••••• C•••••• A•••••••• L•• independent RIAJan 21, 2022 to Mar 21, 2024 · Rancho Cucamonga, Ca
- M••••• C•••••• A•••••••• L•• independent RIAJul 10, 2015 to Dec 31, 2021 · Rancho Cucamonga, Ca
- L•• F•••••••• L•• BD affiliatedSep 3, 2004 to Jun 23, 2015 · Ontario, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 18, 2000 to Sep 14, 2004 · Ontario, Ca
- M••••• C•••••• A•••••••• L•• to D•••••• W••••• M•••••••••left Mar 21, 2024, registered Dec 19, 2022 (-458 days) · RIA to a state-registered adviser
- L•• F•••••••• L•• to M••••• C•••••• A•••••••• L••left Jun 23, 2015, registered Jul 10, 2015 (17 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Sep 14, 2004, registered Sep 3, 2004 (-11 days) · Other
- B•••• A••• D•••••• left M••••• C•••••• A•••••••• L•• for D•••••• W••••• M••••••••• (registered 2022-12-19)Mar 21, 2024 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address