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.
B•••• D••••• V••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Feb 6, 2009 · Anaheim, Ca
- F•••• A••••• S••••••••• I••• formerAug 7, 2008 to Jan 5, 2009 · Pasadena, Ca
- T••••••••• F•••••••• A•••••••• I••• unclassifiedJan 31, 2005 to Jul 10, 2008 · Pasadena, Ca
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedApr 26, 2004 to Sep 8, 2004 · Duarte, Ca
- F•••• A••••• S••••••••• I••• to C•••••••• F••••••••• I•••left Jan 5, 2009, registered Feb 6, 2009 (32 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to F•••• A••••• S••••••••• I•••left Jul 10, 2008, registered Aug 7, 2008 (28 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to T••••••••• F•••••••• A•••••••• I•••left Sep 8, 2004, registered Jan 31, 2005 (145 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