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.
S•••• C• B•••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Nov 21, 2024 · Brea, Ca
- B• • A••••••••• I••• independent RIAJul 14, 2015 to Aug 13, 2020 · Orange, Ca
- L•• F•••••••• L•• BD affiliatedJun 15, 2010 to Feb 26, 2015 · Santa Ana, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 15, 2008 to May 6, 2009 · Irvine, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 15, 2006 to Jan 14, 2008 · Salt Lake City, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 10, 2004 to Sep 26, 2006 · Salt Lake City, Ut
- U•• F•••••••• S••••••• I••• wirehouseAug 5, 2002 to Sep 13, 2004 · Salt Lake City, Ut
- B• • A••••••••• I••• to M•••• C••••••• A••••••• S••••••left Aug 13, 2020, registered Nov 21, 2024 (1561 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to B• • A••••••••• I•••left Feb 26, 2015, registered Jul 14, 2015 (138 days) · Other
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left May 6, 2009, registered Jun 15, 2010 (405 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Jan 14, 2008, registered Jan 15, 2008 (1 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Sep 26, 2006, registered Sep 15, 2006 (-11 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Sep 13, 2004, registered Sep 10, 2004 (-3 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