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.
R••••• L•••• M•••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 16, 2021 · San Juan Capistrano, Ca
- W••••••• F•••••••• S•••••••• I••• formerMay 11, 2015 to Feb 15, 2021 · San Juan Capistrano, Ca
- O••••••••• S••••••••• I••• BD affiliatedNov 15, 2012 to May 15, 2015 · Newport Beach, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 26, 2007 to Dec 7, 2012 · Newport Beach, Ca
- B•••• • A••••••••• unclassifiedMay 18, 2007 to Oct 28, 2008 · Irvine, Ca
- W••••••• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Feb 15, 2021, registered Feb 16, 2021 (1 days) · Affiliated broker-dealer or bank to another
- O••••••••• S••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left May 15, 2015, registered May 11, 2015 (-4 days) · Other
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Dec 7, 2012, registered Nov 15, 2012 (-22 days) · Other
- B•••• • A••••••••• to M•• I•••••••• S•••••••• L••left Oct 28, 2008, registered Jun 26, 2007 (-490 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address