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.
M•••• R••••• T• C•••
- T•• A•••••••• I••• BD affiliated currentsince Aug 19, 2022 · Summit, Nj
- H•••••••• A•••• M••••••••• L•• formerMar 19, 2012 to Apr 20, 2016 · Riverside, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 5, 2011 to Nov 10, 2011 · Los Angeles, Ca
- C•••• I••••••••• S••••••• C•••• formerOct 28, 2009 to Jul 21, 2010 · Westminster, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to May 27, 2009 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedMar 11, 2008 to May 2, 2009 · Irvine, Ca
- H•••••••• A•••• M••••••••• L•• to T•• A•••••••• I•••left Apr 20, 2016, registered Aug 19, 2022 (2312 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to H•••••••• A•••• M••••••••• L••left Nov 10, 2011, registered Mar 19, 2012 (130 days) · Other
- C•••• I••••••••• S••••••• C•••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 21, 2010, registered Apr 5, 2011 (258 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address