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.
L•••• D•••••
- D••• D••••••• • C•• independent RIA currentsince Mar 22, 2016 · Newport Beach, Ca
- B••••• P••••• A•••••••• L•• independent RIAJan 4, 2013 to Mar 22, 2016 · Newport Beach, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 3, 2012 · Irvine, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 14, 2003 to Jun 1, 2009 · Irvine, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 28, 2003 to Oct 30, 2003 · Newport Beach, Ca
- B••••• P••••• A•••••••• L•• to D••• D••••••• • C••left Mar 22, 2016, registered Mar 22, 2016 (0 days) · Other
- M••••• S•••••• to B••••• P••••• A•••••••• L••left Dec 3, 2012, registered Jan 4, 2013 (32 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 30, 2003, registered Oct 14, 2003 (-16 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