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.
- M••••• S•••••• wirehouse currentsince Jul 23, 2021 · Irvine, Ca
- T• A••••••••• I••• formerFeb 27, 2018 to Jul 7, 2021 · Brea, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Jul 7, 2021 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerSep 28, 2016 to Feb 26, 2018 · Saint Louis, Mo
- W•••• F•••• I••••••••• L•• unclassifiedApr 27, 2010 to May 20, 2010 · Huntington Beach, Ca
- W•••• F•••• A••••••• wirehouseNov 12, 2007 to Sep 8, 2010 · Huntington Beach, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 1, 2005 to Sep 6, 2007 · Huntington Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDSep 14, 2004 to Oct 26, 2004 · Irvine, Ca
- T• A••••••••• I••• to M••••• S••••••left Jul 7, 2021, registered Jul 23, 2021 (16 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 7, 2021, registered Feb 27, 2018 (-1226 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left Sep 8, 2010, registered Apr 27, 2010 (-134 days) · Other
- W•••• F•••• I••••••••• L•• to S•••••••• I••••••••• M•••••••••left May 20, 2010, registered Sep 28, 2016 (2323 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Sep 6, 2007, registered Nov 12, 2007 (67 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Oct 26, 2004, registered Feb 1, 2005 (98 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address