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.
J•••••• C•••••• C•••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Brea, Ca
- E•• F•••••••• A••••••• independent RIAJul 12, 2017 to May 3, 2018 · Alhambra, Ca
- A••••••• A••••••• S••••••• formerFeb 12, 2013 to Jul 27, 2017 · Lincoln, Ne
- M•• F•••••••• S•••••••• I••• formerMar 2, 2007 to Jan 24, 2013 · Brea, Ca
- E•• F•••••••• A••••••• to A••••••• A••••••• S•••••••• L••left May 3, 2018, registered Nov 1, 2021 (1278 days) · Affiliated broker-dealer or bank to another
- A••••••• A••••••• S••••••• to E•• F•••••••• A•••••••left Jul 27, 2017, registered Jul 12, 2017 (-15 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to A••••••• A••••••• S•••••••left Jan 24, 2013, registered Feb 12, 2013 (19 days) · Other
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