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.
J•••• E••••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Fullerton, Ca
- S•••••••• R•••••••• C•••••• M••••••••• L•• independent RIASep 13, 2011 to Nov 19, 2014 · Newport Beach, Ca
- S••••••• I••••••••• I••• formerMar 20, 2006 to Nov 2, 2018 · Irvine, Ca
- V••••••••• F•••••••• A•••••••• I••• unclassifiedJul 8, 1997 to Feb 24, 2006 · Irvine, Ca
- S••••••• I••••••••• I••• to S•••••••• R•••••••• C•••••• M••••••••• L••left Nov 2, 2018, registered Sep 13, 2011 (-2607 days) · Other · moved with a team
- S•••••••• R•••••••• C•••••• M••••••••• L•• to O•••• W•••••• I•••left Nov 19, 2014, registered Nov 2, 2018 (1444 days) · Other
- V••••••••• F•••••••• A•••••••• I••• to S••••••• I••••••••• I•••left Feb 24, 2006, registered Mar 20, 2006 (24 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 52derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address