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.
M•••••• M•••••• M••••••
- O•••••••• I••• independent RIA currentsince Dec 11, 2018 · San Juan Capistrano, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Dec 5, 2018 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerNov 6, 2012 to Mar 25, 2017 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedAug 15, 2011 to Sep 25, 2012 · Bingham Farms, Mi
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAMay 25, 2011 to Jul 18, 2011 · Cypress, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 25, 2009 to May 26, 2011 · Mission Viejo, Ca
- W•••• F•••• A••••••• wirehouseNov 14, 2008 to Mar 26, 2009 · Irvine, Ca
- M•• I•••••••• S•••••••• L•• to O•••••••• I•••left Dec 5, 2018, registered Dec 11, 2018 (6 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Sep 25, 2012, registered Nov 6, 2012 (42 days) · Other
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to L•• F•••••••• L••left Jul 18, 2011, registered Aug 15, 2011 (28 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left May 26, 2011, registered May 25, 2011 (-1 days) · Other
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 26, 2009, registered Mar 25, 2009 (-1 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address