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•••••• Q••• D••
- W•••• F•••• A••••••• wirehouse currentsince Oct 20, 2022 · Irvine, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 2, 2013 to Oct 22, 2022 · Huntington Beach, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMar 22, 2013 to Jul 2, 2013 · Santa Barbara, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 19, 2013 · Camarillo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 13, 2007 to Jan 3, 2011 · Camarillo, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 22, 2022, registered Oct 20, 2022 (-2 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Jul 2, 2013, registered Jul 2, 2013 (0 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Mar 19, 2013, registered Mar 22, 2013 (3 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M•••••• Q••• D•• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-10-20)Oct 22, 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address