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.
W••••••• S••• S••
- S•• G•••• W••••• P••••••• L•• independent RIA currentsince Mar 18, 2013 · Irvine, Ca
- S•••••• W••••• P•••••••• L•• BD affiliatedMar 18, 2011 to Apr 18, 2013 · Irvine, Ca
- M••••• S•••••• wirehouseJun 16, 2010 to Mar 23, 2011 · Irvine, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 1, 2000 to Jun 16, 2010 · New York, Ny
- S•••••• W••••• P•••••••• L•• to S•• G•••• W••••• P••••••• L••left Apr 18, 2013, registered Mar 18, 2013 (-31 days) · Other
- M••••• S•••••• to S•••••• W••••• P•••••••• L••left Mar 23, 2011, registered Mar 18, 2011 (-5 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 16, 2010, registered Jun 16, 2010 (0 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