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.
T••• D••••• C•••••
- L•• E••••••••• L•• BD affiliated currentsince Jan 1, 2025 · Irvine, Ca
- P•••• S••••••••• L•• no RAUMSep 5, 2018 to Nov 14, 2024 · Irvine, Ca
- F••••• W••••• S••••••••• I••• formerMay 4, 2011 to Jan 8, 2016 · Costa Mesa, Ca
- I••••••••• C•••••• M••••••••• unclassifiedFeb 15, 2008 to Aug 14, 2009 · Santa Monica, Ca
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Jan 1, 2025 (48 days) · corporate re-registration, not a move
- F••••• W••••• S••••••••• I••• to P•••• S••••••••• L••left Jan 8, 2016, registered Sep 5, 2018 (971 days) · Other
- I••••••••• C•••••• M••••••••• to F••••• W••••• S••••••••• I•••left Aug 14, 2009, registered May 4, 2011 (628 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address