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•••• A•••••• G••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 7, 2019 · Corona, Ca
- F•• S••••••••• C••••••••• formerJan 30, 2014 to Oct 10, 2019 · Atlanta, Ga
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 13, 2009 to Feb 3, 2014 · Irvine, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedJul 28, 2006 to Nov 24, 2008 · Irvine, Ca
- F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 10, 2019, registered Oct 7, 2019 (-3 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to F•• S••••••••• C•••••••••left Feb 3, 2014, registered Jan 30, 2014 (-4 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 24, 2008, registered Apr 13, 2009 (140 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address