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.
D••••• W• Y•
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince May 22, 2024 · Pasadena, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 8, 2020 to May 17, 2024 · Los Angeles, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerSep 28, 2017 to Jan 23, 2020 · San Marino, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 5, 2010 to Nov 21, 2017 · Pasadena, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 11, 2006 to Apr 28, 2009 · Glendale, Ca
- M••• S•••• • C••• L••• unclassifiedDec 2, 2005 to Apr 19, 2006 · Henderson, Nv
- C•••••••• G••••• M•••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••left May 17, 2024, registered May 22, 2024 (5 days) · Affiliated broker-dealer or bank to another
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••••••• G••••• M•••••• I•••left Jan 23, 2020, registered Sep 8, 2020 (229 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 21, 2017, registered Sep 28, 2017 (-54 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 28, 2009, registered Apr 5, 2010 (342 days) · Other
- M••• S•••• • C••• L••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 19, 2006, registered Aug 11, 2006 (114 days) · Other
- D••••• W• Y• left C•••••••• G••••• M•••••• I••• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2024-05-22)May 17, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address