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.
C•••••••• G•• H••
- M••••••• C•••••• A•••• M••••••••• L•• state registered currentsince Nov 10, 2022 · Irvine, Ca
- C••••••• F•••••••• S•••••• C••••••••• formerFeb 10, 2017 to Apr 4, 2022 · Irvine, Ca
- A•••• S••••••••• I••••••••• C••••••••• state registeredApr 1, 2015 to Jan 18, 2017 · Ladera Ranch, Ca
- S•• BD affiliatedNov 22, 2011 to Jun 13, 2012 · Rowland Heights, Ca
- S•• BD affiliatedSep 8, 2010 to Jul 18, 2011 · Rowland Heights, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 16, 2007 to Jun 19, 2009 · Pasadena, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Apr 17, 2007 · Brea, Ca
- M••••• S•••••• D• I••• unclassifiedMar 15, 2004 to Apr 2, 2007 · Brea, Ca
- C••••••• F•••••••• S•••••• C••••••••• to M••••••• C•••••• A•••• M••••••••• L••left Apr 4, 2022, registered Nov 10, 2022 (220 days) · Other
- A•••• S••••••••• I••••••••• C••••••••• to C••••••• F•••••••• S•••••• C•••••••••left Jan 18, 2017, registered Feb 10, 2017 (23 days) · Other
- S•• to A•••• S••••••••• I••••••••• C•••••••••left Jun 13, 2012, registered Apr 1, 2015 (1022 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••left Jun 19, 2009, registered Sep 8, 2010 (446 days) · Other
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 17, 2007, registered Apr 16, 2007 (-1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G•• H•• left C••••••• F•••••••• S•••••• C••••••••• for M••••••• C•••••• A•••• M••••••••• L•• (registered 2022-11-10)Apr 4, 2022 · 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address