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.
J••••• J•••••• S••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Mission Viejo, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 4, 2017 to Jul 13, 2018 · Mission Viejo, Ca
- S••••••••• A•••••• A•••••••• I••• formerJun 13, 2013 to Mar 8, 2017 · Tustin, Ca
- C•••••• A••••••• BD affiliatedJun 4, 2012 to Feb 15, 2013 · Valencia, Ca
- L•••••• I••••••••• independent RIAJun 1, 2012 to Feb 14, 2013 · Valencia, Ca
- C••••••••• A•••••••• I•• formerDec 8, 2009 to Jun 1, 2012 · Valencia, Ca
- E•••••••• A•••••••• L•• national BDAug 10, 2009 to Dec 7, 2009 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDJun 6, 2007 to Jun 17, 2008 · Woodland Hills, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to S•••••••• A••••••• L••left Mar 8, 2017, registered Apr 4, 2017 (27 days) · Other
- C•••••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Feb 15, 2013, registered Jun 13, 2013 (118 days) · Other
- L•••••• I••••••••• to C•••••• A•••••••left Feb 14, 2013, registered Jun 4, 2012 (-255 days) · Other
- C••••••••• A•••••••• I•• to L•••••• I•••••••••left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to C••••••••• A•••••••• I••left Dec 7, 2009, registered Dec 8, 2009 (1 days) · Other
- C•••••• S••••• • C••• I••• to E•••••••• A•••••••• L••left Jun 17, 2008, registered Aug 10, 2009 (419 days) · Affiliated broker-dealer or bank to another
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address