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.
A••••••• K•••••
- F••••• F•••••••• state registered currentsince Jan 18, 2017 · Laguna Hills, Ca
- F••••• F•••••••• state registeredJan 3, 2013 to Dec 31, 2016 · Irvine, Ca
- Q•••• C•••••• S••••••••• I••• formerJul 19, 2011 to Oct 17, 2012 · Irvine, Ca
- N•••••• C•••• A•••• M••••••••• formerNov 17, 2009 to Jul 12, 2011 · New York, Ny
- M•• F•••••••• S•••••••• I••• formerJan 5, 2006 to Jan 8, 2009 · City Of Industry, Ca
- Q•••• C•••••• S••••••••• I••• to F••••• F••••••••left Oct 17, 2012, registered Jan 3, 2013 (78 days) · Other
- N•••••• C•••• A•••• M••••••••• to Q•••• C•••••• S••••••••• I•••left Jul 12, 2011, registered Jul 19, 2011 (7 days) · Other
- M•• F•••••••• S•••••••• I••• to N•••••• C•••• A•••• M•••••••••left Jan 8, 2009, registered Nov 17, 2009 (313 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address