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.
W•••••• C• Y•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 19, 2022 · Newport Beach, Ca
- O••••••••• • C•• I••• BD affiliatedMay 21, 2013 to Oct 21, 2022 · Newport Beach, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 9, 2013 · Brea, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Brea, Ca
- M••••• S•••••• D• I••• unclassifiedJun 27, 2002 to Apr 2, 2007 · Brea, Ca
- O••••••••• • C•• I••• to R•••••• J•••• • A••••••••• I•••left Oct 21, 2022, registered Oct 19, 2022 (-2 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to O••••••••• • C•• I•••left May 9, 2013, registered May 21, 2013 (12 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••••• C• Y••• left O••••••••• • C•• I••• for R•••••• J•••• • A••••••••• I••• (registered 2022-10-19)Oct 21, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address