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.
S••••• E••••••
- L•••• W••••• A••••••• state registered currentsince Jan 1, 2025 · Diamond Bar, Ca
- J• W• C••• A•••••••• I••• BD affiliatedNov 30, 2012 to Dec 20, 2012 · Diamond Bar, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 18, 2003 to Dec 2, 2003 · Pasadena, Ca
- J• W• C••• A•••••••• I••• to L•••• W••••• A•••••••left Dec 20, 2012, registered Jan 1, 2025 (4395 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J• W• C••• A•••••••• I•••left Dec 2, 2003, registered Nov 30, 2012 (3286 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address