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.
M••• M••••• M•••••••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Feb 23, 2021 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliated currentsince Apr 11, 2017 · Newport Beach, Ca
- L•••• F••• A••••••• S••••••• BD affiliatedNov 7, 2011 to Feb 26, 2021 · Irvine, Ca
- C••••• A•••••• N••••••• L•• formerJan 2, 2004 to Nov 4, 2011 · Whittier, Ca
- L•••• F••• A••••••• S••••••• to L•• F•••••••• L••left Feb 26, 2021, registered Apr 11, 2017 (-1417 days) · Other
- C••••• A•••••• N••••••• L•• to L•••• F••• A••••••• S•••••••left Nov 4, 2011, registered Nov 7, 2011 (3 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