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.
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- B•••••• G•••••••• F•••••••• A••••••• L•• former currentsince May 9, 2022 · Foothill Ranch, Ca
- H•••••• I••••••••• S•••••••• L•• independent RIASep 17, 2018 to Dec 23, 2021 · Foothill Ranch, Ca
- C•••••••• F•••••••• G•••• A••••••• formerSep 7, 2006 to Aug 30, 2018 · Mission Viejo, Ca
- H•••••• I••••••••• S•••••••• L•• to B•••••• G•••••••• F•••••••• A••••••• L••left Dec 23, 2021, registered May 9, 2022 (137 days) · RIA to RIA
- C•••••••• F•••••••• G•••• A••••••• to H•••••• I••••••••• S•••••••• L••left Aug 30, 2018, registered Sep 17, 2018 (18 days) · Affiliated broker-dealer or bank to independent RIA
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
- Former SEC-registered adviserderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address