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•••• Q••••••
- I•••• F••• A•••••••• I••• independent RIA currentsince Oct 9, 2018 · Irvine, Ca
- C••••• A••••••• L•• formerJun 19, 2014 to Jun 7, 2018 · Santa Ana, Ca
- J•• F•••••••• M•••••••• I••• state registeredSep 30, 2005 to Jun 27, 2014 · Irvine, Ca
- C••••• A••••••• L•• formerOct 6, 2004 to Aug 1, 2013 · Irvine, Ca
- C••••• A••••••• L•• to I•••• F••• A•••••••• I•••left Jun 7, 2018, registered Oct 9, 2018 (124 days) · Affiliated broker-dealer or bank to independent RIA
- J•• F•••••••• M•••••••• I••• to C••••• A••••••• L••left Jun 27, 2014, registered Jun 19, 2014 (-8 days) · Other
- C••••• A••••••• L•• to J•• F•••••••• M•••••••• I•••left Aug 1, 2013, registered Sep 30, 2005 (-2862 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address