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•••• P• P••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jul 30, 2018 · Pasadena, Ca
- O••••••••• S••••••••• I••• BD affiliatedFeb 17, 2017 to May 31, 2018 · Glendora, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Oct 15, 2015 · San Gabriel, Ca
- C••••• I••••••••• S••••••• L•• formerAug 1, 2011 to Jan 21, 2014 · San Gabriel, Ca
- H••• S••••••••• •••• I••• BD affiliatedFeb 22, 2007 to Jun 27, 2011 · Alhambra, Ca
- C••••• I••••••••• S••••••• L•• formerOct 10, 2006 to Jan 3, 2007 · Alhambra, Ca
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMay 17, 2006 to Oct 6, 2006 · Alhambra, Ca
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 18, 2005 to Apr 21, 2006 · Monterey Park, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 1, 2005 to Aug 9, 2005 · Pasadena, Ca
- O••••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left May 31, 2018, registered Jul 30, 2018 (60 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to O••••••••• S••••••••• I•••left Oct 15, 2015, registered Feb 17, 2017 (491 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to C••••• I••••••••• S••••••• L••left Jun 27, 2011, registered Aug 1, 2011 (35 days) · Other
- C••••• I••••••••• S••••••• L•• to H••• S••••••••• •••• I•••left Jan 3, 2007, registered Feb 22, 2007 (50 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C••••• I••••••••• S••••••• L••left Oct 6, 2006, registered Oct 10, 2006 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 9, 2005, registered Aug 18, 2005 (9 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address