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••••• M••••••• Z•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 5, 2021 · Upland, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 4, 2019 to Dec 2, 2021 · Upland, Ca
- F•• S••••••••• C••••••••• formerJan 27, 2014 to Oct 11, 2019 · Atlanta, Ga
- C••••• A•••••• N••••••• L•• formerOct 26, 2010 to Jan 7, 2014 · Redlands, Ca
- C••• F•••••••• S•••••••• L••• formerMar 14, 2008 to Oct 7, 2010 · Riverside, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Mar 25, 2008 · Fountain Valley, Ca
- C••••••• I••••••••• S••••••• unclassifiedFeb 21, 2006 to May 29, 2007 · Redlands, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 18, 2001 to Oct 18, 2002 · Riverside, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 2, 2021, registered Nov 5, 2021 (-27 days) · Affiliated broker-dealer or bank to another
- F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 11, 2019, registered Oct 4, 2019 (-7 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to F•• S••••••••• C•••••••••left Jan 7, 2014, registered Jan 27, 2014 (20 days) · Other
- C••• F•••••••• S•••••••• L••• to C••••• A•••••• N••••••• L••left Oct 7, 2010, registered Oct 26, 2010 (19 days) · Other
- C•••••••• G••••• M•••••• I••• to C••• F•••••••• S•••••••• L•••left Mar 25, 2008, registered Mar 14, 2008 (-11 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C••••••• I••••••••• S•••••••left Oct 18, 2002, registered Feb 21, 2006 (1222 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