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•••• M••••••• C••••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jan 29, 2024 · Pasadena, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 25, 2020 to Jan 18, 2024 · Rancho Cucamonga, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to A••••• A•• P••••••• S•••••••left Jan 18, 2024, registered Jan 29, 2024 (11 days) · Affiliated broker-dealer or bank to another
- S•••• M••••••• C•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2024-01-29)Jan 18, 2024 · Advisor changed firm · fact
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