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.
D••••• S••••• C•••••
- N••••••• A••••••• L•• independent RIA currentsince May 21, 2018 · Ladera Ranch, Ca
- J••• M••••• S••••••••• L•• wirehouseApr 10, 2014 to Apr 11, 2018 · Aliso Viejo, Ca
- C•••••• S••••• • C••• I••• national BDDec 20, 2005 to Apr 22, 2014 · Irvine, Ca
- M••••• S•••••• D• I••• unclassifiedNov 14, 2000 to Jun 27, 2002 · San Diego, Ca
- J••• M••••• S••••••••• L•• to N••••••• A••••••• L••left Apr 11, 2018, registered May 21, 2018 (40 days) · Wirehouse to independent RIA · moved with a team
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Apr 22, 2014, registered Apr 10, 2014 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• D• I••• to C•••••• S••••• • C••• I•••left Jun 27, 2002, registered Dec 20, 2005 (1272 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