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.
D•••• R••••• E•••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Aug 7, 2014 · Upland, Ca
- F•• S••••••••• C••••••••• formerMay 7, 2013 to Aug 8, 2014 · Upland, Ca
- L•• F•••••••• L•• BD affiliatedApr 9, 2010 to May 16, 2013 · Upland, Ca
- W•••••• • R••• formerFeb 22, 2007 to Dec 22, 2008 · Ontario, Ca
- F•• S••••••••• C••••••••• to C•••••••• F••••••••• I•••left Aug 8, 2014, registered Aug 7, 2014 (-1 days) · Other
- L•• F•••••••• L•• to F•• S••••••••• C•••••••••left May 16, 2013, registered May 7, 2013 (-9 days) · Other
- W•••••• • R••• to L•• F•••••••• L••left Dec 22, 2008, registered Apr 9, 2010 (473 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address