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.
E•••• E••••• P•••••
- E•• F•••••••• A••••••• independent RIA currentsince Apr 21, 2023 · Irvine, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 23, 2013 to Jul 15, 2021 · Ontario, Ca
- P••• A••••• S••••••••• L•• BD affiliatedDec 7, 2010 to Sep 16, 2013 · Brea, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Nov 17, 2010 · Eastvale, Ca
- W••• I••••••••• I••• unclassifiedJul 24, 2008 to May 2, 2009 · Chino, Ca
- M•• I•••••••• S•••••••• L•• to E•• F•••••••• A•••••••left Jul 15, 2021, registered Apr 21, 2023 (645 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 16, 2013, registered Oct 23, 2013 (37 days) · Other
- C•••• I••••••••• S••••••• C•••• to P••• A••••• S••••••••• L••left Nov 17, 2010, registered Dec 7, 2010 (20 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address