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•• L•• independent RIA currentsince Feb 16, 2017 · Long Beach, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Dec 31, 2023 · Long Beach, Ca
- C••••• A•••••• N••••••• L•• formerSep 12, 2019 to Jun 29, 2023 · Long Beach, Ca
- C••••• A•••••• N••••••• L•• formerJul 8, 1997 to Sep 12, 2019 · Gardena, Ca
- C••••• I••••••••• A••••••• L•• to no registered destinationleft Dec 31, 2023 · Departure, no registered destination
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to C•• L••left Sep 12, 2019, registered Feb 16, 2017 (-938 days) · Other
- J••• D•••• C••••••••• no longer registered at C••••• I••••••••• A••••••• L••; no later IA registration on IAPDDec 31, 2023 · a•••••• departure · fact
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address