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.
E••• D••••••• R••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Oct 29, 2021 · Greenwood Village, Co
- C••• B•••••••• S•••••••• I••• formerJan 5, 2016 to Aug 16, 2021 · Lancaster, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 8, 2015 · Placentia, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 18, 2009 to Oct 1, 2012 · Anaheim Hills, Ca
- S••••••• I••••••••• I••• formerMar 9, 2004 to Sep 18, 2009 · Irvine, Ca
- C••• B•••••••• S•••••••• I••• to E•••••• A••••••• G••••• L••left Aug 16, 2021, registered Oct 29, 2021 (74 days) · Other
- J••• M••••• S••••••••• L•• to C••• B•••••••• S•••••••• I•••left Dec 8, 2015, registered Jan 5, 2016 (28 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left Sep 18, 2009, registered Sep 18, 2009 (0 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address