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.
J•••••• S•••• T•••••
- J•• I••••••••• C••••••••• state registered currentsince Sep 16, 2011 · Seal Beach, Ca
- P•••••• A•••••••• L•• independent RIAAug 10, 2017 to Oct 4, 2017 · Newport Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 12, 2003 to May 19, 2011 · Huntington Beach, Ca
- P•••••• A•••••••• L•• to no registered destinationleft Oct 4, 2017 · Departure, no registered destination
- A••••••••• F•••••••• S•••••••• L•• to J•• I••••••••• C•••••••••left May 19, 2011, registered Sep 16, 2011 (120 days) · Affiliated broker-dealer or bank to a state-registered adviser
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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address