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••• B• B•••••
- D•• W••••• M••••••••• L•• independent RIA currentsince Oct 25, 2019 · Irvine, Ca
- C•••••••• F••••••••• I••• BD affiliatedJul 21, 2016 to Sep 23, 2019 · Irvine, Ca
- A•••••• A•••••••• L•• formerFeb 20, 2015 to Sep 15, 2016 · Newport Beach, Ca
- G••••• S••••••••• I••• formerOct 11, 2013 to Aug 15, 2016 · Irvine, Ca
- L•• F•••••••• L•• BD affiliatedSep 13, 2011 to Nov 5, 2013 · Huntington Beach, Ca
- A••••••• E•••••••• I••• formerJun 5, 2008 to Jan 5, 2009 · San Francisco, Ca
- P••• S••••••••• C••••••••• unclassifiedJul 6, 2007 to Jun 3, 2008 · Pasadena, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 5, 2003 to Jul 6, 2004 · Los Angeles, Ca
- C•••••••• F••••••••• I••• to D•• W••••• M••••••••• L••left Sep 23, 2019, registered Oct 25, 2019 (32 days) · Affiliated broker-dealer or bank to independent RIA
- A•••••• A•••••••• L•• to C•••••••• F••••••••• I•••left Sep 15, 2016, registered Jul 21, 2016 (-56 days) · Other
- G••••• S••••••••• I••• to A•••••• A•••••••• L••left Aug 15, 2016, registered Feb 20, 2015 (-542 days) · Other
- L•• F•••••••• L•• to G••••• S••••••••• I•••left Nov 5, 2013, registered Oct 11, 2013 (-25 days) · Other
- A••••••• E•••••••• I••• to L•• F•••••••• L••left Jan 5, 2009, registered Sep 13, 2011 (981 days) · Other
- P••• S••••••••• C••••••••• to A••••••• E•••••••• I•••left Jun 3, 2008, registered Jun 5, 2008 (2 days) · Other
- C•••••••• G••••• M•••••• I••• to P••• S••••••••• C•••••••••left Jul 6, 2004, registered Jul 6, 2007 (1095 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