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.
R••••• D•••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Claremont, Ca
- C••••••• W••••• • C•• formerSep 29, 2009 to Oct 9, 2013 · West Covina, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 21, 2009 · Claremont, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 8, 2004 to Jun 1, 2009 · Claremont, Ca
- C••••••• W••••• • C•• to L•• F•••••••• L••left Oct 9, 2013, registered Jan 1, 2025 (4102 days) · Other
- M••••• S•••••• to C••••••• W••••• • C••left Oct 21, 2009, registered Sep 29, 2009 (-22 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address