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.
D•••• J••• L•• W••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Concord, Ca
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Apr 11, 2018 · Irvine, Ca
- T•••••• C••••••• I••• independent RIADec 1, 2015 to May 13, 2021 · Irvine, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 17, 2007 to Nov 29, 2017 · Irvine, Ca
- T•••••• C••••••• I••• to L•• F•••••••• L••left May 13, 2021, registered Nov 29, 2017 (-1261 days) · RIA to RIA · moved with a team
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 11, 2018, registered Jun 29, 2023 (1905 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• C••••••• I•••left Nov 29, 2017, registered Dec 1, 2015 (-729 days) · Other · moved with a team
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