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•••••• J• R•••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 21, 2018 · Henderson, Nv
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Aug 9, 2018 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedAug 11, 2010 to Oct 15, 2010 · Palm Desert, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 25, 2010 to Jul 16, 2010 · Riverside, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 9, 2008 to Apr 3, 2009 · Riverside, Ca
- C••••••••• I••••••••• S•••••••• I••• unclassifiedFeb 19, 2008 to Sep 15, 2008 · Riverside, Ca
- W••• I••••••••• I••• unclassifiedJul 19, 2005 to Jun 7, 2006 · Riverside, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 19, 2003 to Sep 29, 2004 · Corona, Ca
- P•• M•••••• A•••••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••left Aug 9, 2018, registered Aug 21, 2018 (12 days) · Affiliated broker-dealer or bank to another
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to S• J•••• W••••• M•••••••••left Jul 16, 2010, registered Aug 11, 2010 (26 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U••• B•••••• A•••••••• L••left Apr 3, 2009, registered Feb 25, 2010 (328 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 15, 2008, registered Sep 9, 2008 (-6 days) · Other
- W••• I••••••••• I••• to C••••••••• I••••••••• S•••••••• I•••left Jun 7, 2006, registered Feb 19, 2008 (622 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W••• I••••••••• I•••left Sep 29, 2004, registered Jul 19, 2005 (293 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address