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•••••• A••••
- G•• R••••••••• S•••••••• I••• state registered currentsince Jun 25, 2020 · Rolling Meadows, Il
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 28, 2018 to Dec 31, 2018 · Riverside, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 22, 2012 to May 21, 2012 · Newport Beach, Ca
- C••••• A•••••• N••••••• L•• formerDec 17, 2009 to Nov 2, 2011 · El Segundo, Ca
- G••••• S••••••••• I••• formerJan 28, 2008 to Nov 7, 2008 · Newport Beach, Ca
- M•• F•••••••• S•••••••• I••• formerJun 1, 2007 to Jan 25, 2008 · City Of Industry, Ca
- W••• I••••••••• I••• unclassifiedJan 24, 2005 to Jan 4, 2007 · Fullerton, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 23, 2003 to Jan 4, 2005 · Anaheim, Ca
- V••• F•••••••• A•••••••• I••• to G•• R••••••••• S•••••••• I•••left Dec 31, 2018, registered Jun 25, 2020 (542 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••left May 21, 2012, registered Feb 28, 2018 (2109 days) · Other
- C••••• A•••••• N••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 2, 2011, registered Mar 22, 2012 (141 days) · Other
- G••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Nov 7, 2008, registered Dec 17, 2009 (405 days) · Other
- M•• F•••••••• S•••••••• I••• to G••••• S••••••••• I•••left Jan 25, 2008, registered Jan 28, 2008 (3 days) · Other
- W••• I••••••••• I••• to M•• F•••••••• S•••••••• I•••left Jan 4, 2007, registered Jun 1, 2007 (148 days) · Other
- W•••• F•••• I••••••••• L•• to W••• I••••••••• I•••left Jan 4, 2005, registered Jan 24, 2005 (20 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address