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.
P•••• L•• W••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 30, 2022 · Irvine, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 27, 2011 to Apr 14, 2022 · Irvine, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 7, 2011 · Temecula, Ca
- M••••• S•••••• • C•• L•• unclassifiedJan 26, 2009 to Jun 1, 2009 · Temecula, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 13, 2005 to Jan 27, 2009 · Temecula, Ca
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 14, 2022, registered Mar 30, 2022 (-15 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 7, 2011, registered Oct 27, 2011 (-11 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Jan 27, 2009, registered Jan 26, 2009 (-1 days) · Other
- P•••• L•• W•••••• left U•• F•••••••• S••••••• I••• for W•••• F•••• A••••••• (registered 2022-03-30)Apr 14, 2022 · Advisor changed firm · 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address