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.
B•••• E••• S•••••••••
- S••••• A•••••••• L•• independent RIA currentsince Feb 23, 2024 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 6, 2024 · Costa Mesa, Ca
- M•• F•••••••• S•••••••• I••• formerDec 19, 2008 to Mar 25, 2017 · Irvine, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Dec 9, 2008 · Santa Ana, Ca
- M••••• S•••••• D• I••• unclassifiedApr 6, 2006 to Apr 2, 2007 · Santa Ana, Ca
- M•• I•••••••• S•••••••• L•• to S••••• A•••••••• L••left Mar 6, 2024, registered Feb 23, 2024 (-12 days) · corporate re-registration, not a move
- 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
- M••••• S•••••• • C•• L•• to M•• F•••••••• S•••••••• I•••left Dec 9, 2008, registered Dec 19, 2008 (10 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address