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.
C••••••••• B•••• B••••••
- C•••• C•••••• M••••••••• I•• independent RIA currentsince Aug 10, 2012 · Costa Mesa, Ca
- G•••• T•••• F•••••••• unclassifiedSep 21, 2009 to Dec 6, 2012 · Carlsbad, Ca
- C•••••• S••••• • C••• I••• national BDMay 9, 2002 to May 5, 2009 · Mission Viejo, Ca
- G•••• T•••• F•••••••• to C•••• C•••••• M••••••••• I••left Dec 6, 2012, registered Aug 10, 2012 (-118 days) · Other
- C•••••• S••••• • C••• I••• to G•••• T•••• F••••••••left May 5, 2009, registered Sep 21, 2009 (139 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