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.
T••••• R••••• W•••••• I••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Feb 1, 2023 · La Verne, Ca
- L••••• W••••• A•••••••• I••• formerFeb 1, 2021 to Mar 31, 2023 · Solana Beach, Ca
- L••••• W••••• A•••••••• I••• formerMar 8, 2017 to Dec 31, 2020 · Solana Beach, Ca
- S•••••••• F•••••••• formerAug 3, 2012 to Dec 31, 2012 · Glendora, Ca
- P•••••• C••••••••• G••••• I••• unclassifiedMar 1, 2006 to Dec 31, 2008 · Rancho Cucamonga, Ca
- S•••••••• F•••••••• formerMay 5, 2005 to Dec 31, 2011 · Claremont, Ca
- N•• A•••••• S•••••••• L•• formerJan 25, 2005 to Mar 2, 2006 · Claremont, Ca
- L••••• W••••• A•••••••• I••• to I••••••••• W••••• C••••••• L••left Mar 31, 2023, registered Feb 1, 2023 (-58 days) · corporate re-registration, not a move
- S•••••••• F•••••••• to L••••• W••••• A•••••••• I•••left Dec 31, 2012, registered Mar 8, 2017 (1528 days) · Other
- S•••••••• F•••••••• to P•••••• C••••••••• G••••• I•••left Dec 31, 2011, registered Mar 1, 2006 (-2131 days) · Other
- P•••••• C••••••••• G••••• I••• to S•••••••• F••••••••left Dec 31, 2008, registered Aug 3, 2012 (1311 days) · Other
- N•• A•••••• S•••••••• L•• to S•••••••• F••••••••left Mar 2, 2006, registered May 5, 2005 (-301 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address