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•••• A•••• P•••••
- N•••••• A••••••• BD affiliated currentsince Feb 5, 2024 · New Orleans, La
- R•••• W••••• G•••• I••• formerJan 12, 2022 to Mar 28, 2024 · Seal Beach, Ca
- R•••• W••••• G•••• I••• formerApr 11, 2006 to Dec 13, 2010 · Seal Beach, Ca
- O•••• W•••••• I••• BD affiliatedApr 4, 2001 to Feb 4, 2003 · Redlands, Ca
- R•••• A••••••• S•••••••• I••• formerFeb 26, 2001 to Apr 11, 2006 · Redlands, Ca
- R•••• W••••• G•••• I••• to N•••••• A•••••••left Mar 28, 2024, registered Feb 5, 2024 (-52 days) · Other
- R•••• A••••••• S•••••••• I••• to O•••• W•••••• I•••left Apr 11, 2006, registered Apr 4, 2001 (-1833 days) · Other
- O•••• W•••••• I••• to R•••• W••••• G•••• I•••left Feb 4, 2003, registered Apr 11, 2006 (1162 days) · Other
- D•••• A•••• P••••• left R•••• W••••• G•••• I••• for N•••••• A••••••• (registered 2024-02-05)Mar 28, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address