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•••• E•••••••
- C••••••• P••••••• independent RIA currentsince Sep 26, 2016 · Corona, Ca
- W••••• F•••••••• S•••••••• L•• formerAug 30, 2011 to Sep 23, 2016 · Corona, Ca
- C••• B•••••••• S•••••••• I••• formerJan 22, 2007 to Aug 29, 2011 · Anaheim, Ca
- C••• F•••••••• S•••••••• L••• formerFeb 2, 2004 to Jan 24, 2007 · Rancho Cucamonga, Ca
- W••• I••••••••• I••• unclassifiedJul 24, 2003 to Nov 10, 2003 · La Mirada, Ca
- E•••••••• A•••••••• L•• national BDFeb 21, 2003 to Jul 21, 2003 · Irvine, Ca
- W••••• F•••••••• S•••••••• L•• to C••••••• P•••••••left Sep 23, 2016, registered Sep 26, 2016 (3 days) · Other
- C••• B•••••••• S•••••••• I••• to W••••• F•••••••• S•••••••• L••left Aug 29, 2011, registered Aug 30, 2011 (1 days) · Other
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Jan 24, 2007, registered Jan 22, 2007 (-2 days) · Other
- W••• I••••••••• I••• to C••• F•••••••• S•••••••• L•••left Nov 10, 2003, registered Feb 2, 2004 (84 days) · Other
- E•••••••• A•••••••• L•• to W••• I••••••••• I•••left Jul 21, 2003, registered Jul 24, 2003 (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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address