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••••• B• I••••
- A••••••• C•••••• M••••••••• L•• independent RIA currentsince Sep 26, 2023 · Aliso Viejo, Ca
- U••••• C•••••• F•••••••• A••••••• independent RIAApr 23, 2019 to Oct 26, 2023 · Irvine, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 24, 2014 to May 1, 2019 · Newport Beach, Ca
- S•••••••• A••••••• L•• national BDOct 25, 2012 to May 28, 2014 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2010 to Sep 26, 2012 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 23, 2010 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 2, 2008 to Jun 1, 2009 · San Diego, Ca
- U••••• C•••••• F•••••••• A••••••• to A••••••• C•••••• M••••••••• L••left Oct 26, 2023, registered Sep 26, 2023 (-30 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to U••••• C•••••• F•••••••• A•••••••left May 1, 2019, registered Apr 23, 2019 (-8 days) · Wirehouse to independent RIA
- S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left May 28, 2014, registered Jun 24, 2014 (27 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to S•••••••• A••••••• L••left Sep 26, 2012, registered Oct 25, 2012 (29 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Aug 23, 2010, registered Aug 12, 2010 (-11 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- J••••• B• I•••• left U••••• C•••••• F•••••••• A••••••• for A••••••• C•••••• M••••••••• L•• (registered 2023-09-26)Oct 26, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address