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•••••• B••••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 18, 2014 · Anaheim, Ca
- R•• S••••••••• I••• BD affiliatedMay 6, 2010 to Sep 18, 2014 · Irvine, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to May 6, 2010 · Brea, Ca
- W••• I••••••••• I••• unclassifiedMar 10, 2009 to May 2, 2009 · Fullerton, Ca
- M•• F•••••••• S•••••••• I••• formerFeb 23, 2009 to Mar 4, 2009 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 25, 2007 to Feb 11, 2009 · Newport Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 6, 2006 to May 15, 2007 · Orange, Ca
- R•• S••••••••• I••• to L•• F•••••••• L••left Sep 18, 2014, registered Sep 18, 2014 (0 days) · Other
- C•••• I••••••••• S••••••• C•••• to R•• S••••••••• I•••left May 6, 2010, registered May 6, 2010 (0 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to W••• I••••••••• I•••left Mar 4, 2009, registered Mar 10, 2009 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Feb 11, 2009, registered Feb 23, 2009 (12 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 15, 2007, registered Apr 25, 2007 (-20 days) · Wirehouse to wirehouse
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