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.
M••• L•••• M•••••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Apr 20, 2016 · Newport Beach, Ca
- B••••• P••••• W••••• A•••••••• L•• formerJan 31, 2013 to Apr 27, 2020 · Newport Beach, Ca
- W••••• M••••••••• N•••••• L•• formerMay 12, 2005 to Dec 31, 2012 · Newport Beach, Ca
- W••••• M••••••••• L••••• unclassifiedJul 12, 2001 to Aug 5, 2003 · Newport Beach, Ca
- B••••• P••••• W••••• A•••••••• L•• to B••••• P••••• A•••••••• L••left Apr 27, 2020, registered Apr 20, 2016 (-1468 days) · corporate re-registration, not a move
- W••••• M••••••••• N•••••• L•• to B••••• P••••• W••••• A•••••••• L••left Dec 31, 2012, registered Jan 31, 2013 (31 days) · Other
- W••••• M••••••••• L••••• to W••••• M••••••••• N•••••• L••left Aug 5, 2003, registered May 12, 2005 (646 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address