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.
S•••• C•••• B•••••
- B•••• T•••• W••••• M••••••••• L•• mixed wealth currentsince Nov 5, 2020 · Newport Beach, Ca
- S•••• M••••• F•••••••• S•••••••• L•• formerAug 16, 2017 to Dec 22, 2020 · Newport Beach, Ca
- C••••• A•••••• N••••••• L•• formerJul 18, 2011 to Aug 23, 2017 · Long Beach, Ca
- S•••• M••••• F•••••••• S•••••••• L•• formerJun 26, 2000 to Nov 22, 2011 · Newport Beach, Ca
- S•••• M••••• F•••••••• S•••••••• L•• to B•••• T•••• W••••• M••••••••• L••left Dec 22, 2020, registered Nov 5, 2020 (-47 days) · RIA to RIA · moved with a team
- C••••• A•••••• N••••••• L•• to S•••• M••••• F•••••••• S•••••••• L••left Aug 23, 2017, registered Aug 16, 2017 (-7 days) · Other
- S•••• M••••• F•••••••• S•••••••• L•• to C••••• A•••••• N••••••• L••left Nov 22, 2011, registered Jul 18, 2011 (-127 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address