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.
C•••••• N•• L••
- S••••••• I••••••••• A•••••••• I••• other currentsince Dec 20, 2024 · Arcadia, Ca
- M•••• A•••• W••••• M••••••••• •••• I••• unclassifiedMay 17, 2019 to Apr 1, 2021 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJan 24, 2017 to May 13, 2019 · Glendale, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJun 25, 2012 to Jan 12, 2017 · San Diego, Ca
- F•••• A••••• S••••••••• I••• formerAug 25, 2009 to Jan 12, 2017 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedSep 29, 2008 to Aug 25, 2009 · San Diego, Ca
- M•••• A•••• W••••• M••••••••• •••• I••• to S••••••• I••••••••• A•••••••• I•••left Apr 1, 2021, registered Dec 20, 2024 (1359 days) · Other
- U••• B•••••• A•••••••• L•• to M•••• A•••• W••••• M••••••••• •••• I•••left May 13, 2019, registered May 17, 2019 (4 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to U••• B•••••• A•••••••• L••left Jan 12, 2017, registered Jan 24, 2017 (12 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jan 12, 2017, registered Jun 25, 2012 (-1662 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to F•••• A••••• S••••••••• I•••left Aug 25, 2009, registered Aug 25, 2009 (0 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
- Other adviserderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address