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.
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Long Beach, Ca
- C••• B•••••••• S•••••••• I••• formerMar 15, 2019 to May 18, 2022 · Tustin, Ca
- R•• S••••••••• I••• BD affiliatedMay 17, 2018 to Mar 4, 2019 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedDec 9, 2016 to Jun 6, 2018 · Artesia, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 5, 2016 to Dec 16, 2016 · San Pedro, Ca
- L•• F•••••••• L•• BD affiliatedJun 26, 2015 to Oct 21, 2016 · Artesia, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 24, 2011 to Jul 8, 2015 · Long Beach, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 27, 2011 · Cerritos, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 2, 2005 to Jan 3, 2011 · Milpitas, Ca
- C••• B•••••••• S•••••••• I••• formerMar 4, 2005 to May 24, 2005 · Fountain Valley, Ca
- W••• I••••••••• I••• unclassifiedJul 7, 2004 to Jan 5, 2005 · Bellflower, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 4, 2004 to Jun 9, 2004 · Costa Mesa, Ca
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- R•• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Mar 4, 2019, registered Mar 15, 2019 (11 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to R•• S••••••••• I•••left Jun 6, 2018, registered May 17, 2018 (-20 days) · RIA to RIA
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Dec 16, 2016, registered Dec 9, 2016 (-7 days) · Other
- L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••left Oct 21, 2016, registered Oct 5, 2016 (-16 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 8, 2015, registered Jun 26, 2015 (-12 days) · Other
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 27, 2011, registered Jun 24, 2011 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · Other
- C••• B•••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left May 24, 2005, registered Jun 2, 2005 (9 days) · Other
- W••• I••••••••• I••• to C••• B•••••••• S•••••••• I•••left Jan 5, 2005, registered Mar 4, 2005 (58 days) · Other
- C••••••• I••••••••• S••••••• to W••• I••••••••• I•••left Jun 9, 2004, registered Jul 7, 2004 (28 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address