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•••• N••••• K••••••
- M••••• S•••••• wirehouse currentsince Dec 8, 2015 · Newport Beach, Ca
- W•••••• G•••••• F•••••••• S••••••• state registeredMay 9, 2013 to Sep 30, 2015 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 18, 2009 to May 11, 2010 · Mission Viejo, Ca
- W•••••• G•••••• F•••••••• S••••••• to M••••• S••••••left Sep 30, 2015, registered Dec 8, 2015 (69 days) · Other
- W•••• F•••• I••••••••• L•• to W•••••• G•••••• F•••••••• S•••••••left May 11, 2010, registered May 9, 2013 (1094 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address