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••••• J••••• Z•••••
- V••••• W••••• S••••••••• L•• independent RIA currentsince Oct 20, 2017 · Lodi, Ca
- V••••• W••••• S••••••••• unclassifiedMay 30, 2017 to Dec 31, 2017 · San Dimas, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerDec 12, 2006 to Nov 29, 2017 · Lake Forest, Ca
- M••••• S•••••• D• I••• unclassifiedJan 28, 2003 to Jun 9, 2003 · Newport Beach, Ca
- V••••• W••••• S••••••••• to V••••• W••••• S••••••••• L••left Dec 31, 2017, registered Oct 20, 2017 (-72 days) · Other · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to V••••• W••••• S•••••••••left Nov 29, 2017, registered May 30, 2017 (-183 days) · Other · moved with a team
- M••••• S•••••• D• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jun 9, 2003, registered Dec 12, 2006 (1282 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address