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.
A••• G•••• S••••••
- F•••••••• M••••••••• N•••••• I•• independent RIA currentsince Apr 25, 2017 · Mission Viejo, Ca
- L•• F•••••••• L•• BD affiliatedApr 4, 2017 to Jun 14, 2017 · Irvine, Ca
- W••• formerFeb 26, 2015 to Apr 25, 2017 · Irvine, Ca
- W••• formerJan 17, 2007 to Dec 31, 2014 · Lake Forest, Ca
- L•• F•••••••• L•• to F•••••••• M••••••••• N•••••• I••left Jun 14, 2017, registered Apr 25, 2017 (-50 days) · Other
- W••• to L•• F•••••••• L••left Apr 25, 2017, registered Apr 4, 2017 (-21 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