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.
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- W•••• F•••• A••••••• wirehouse currentsince Jun 23, 2023 · Orange, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2020 to Jun 21, 2023 · Irvine, Ca
- U••• B•••••• I••••••••• I••• formerOct 17, 2017 to May 6, 2020 · Ladera Ranch, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 5, 2016 to Oct 17, 2017 · Tustin, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJul 19, 2013 to Feb 10, 2016 · Thousand Oaks, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 2, 2011 to Jul 18, 2013 · Santa Ana, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 21, 2023, registered Jun 23, 2023 (2 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 6, 2020, registered Jun 9, 2020 (34 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 17, 2017, registered Oct 17, 2017 (0 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• A•••••••• L••left Feb 10, 2016, registered Feb 5, 2016 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 18, 2013, registered Jul 19, 2013 (1 days) · Other
- S••••• I•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2023-06-23)Jun 21, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address