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•••••• J••• C•••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Feb 22, 2016 · Greenwood Village, Co
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 2, 2014 · Yorba Linda, Ca
- C•••• I••••••••• S••••••• C•••• formerMar 25, 2011 to Oct 1, 2012 · Yorba Linda, Ca
- C•••••••• F••••••••• I••• BD affiliatedJan 12, 2010 to Feb 9, 2011 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 16, 2008 to Jan 19, 2010 · Long Beach, Ca
- J••• M••••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Dec 2, 2014, registered Feb 22, 2016 (447 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C•••••••• F••••••••• I••• to C•••• I••••••••• S••••••• C••••left Feb 9, 2011, registered Mar 25, 2011 (44 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• F••••••••• I•••left Jan 19, 2010, registered Jan 12, 2010 (-7 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address