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.
P•••••• C••••••• C••••••
- S••• BD affiliated currentsince Jul 26, 2021 · Newport Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 18, 2011 to Jul 28, 2021 · Beverly Hills, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 6, 2009 to Nov 18, 2011 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerJan 30, 2006 to Dec 6, 2007 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• to S•••left Jul 28, 2021, registered Jul 26, 2021 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• A•••••••• I••• to C•••••••• G••••• M•••••• I•••left Nov 18, 2011, registered Nov 18, 2011 (0 days) · Other
- U••• B•••••• I••••••••• I••• to V••• F•••••••• A•••••••• I•••left Dec 6, 2007, registered Feb 6, 2009 (428 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