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•••• Q••••••
- A•••••••• C•••••• W••••• M••••••••• L•• independent RIA currentsince Jan 1, 2025 · Red Bank, Nj
- C•••• C•••••• S••••••••• L••• formerFeb 27, 2017 to Dec 31, 2022 · Downey, Ca
- R•••• I••••••••• A••••••• L•• BD affiliatedJan 2, 2015 to Feb 28, 2017 · Downey, Ca
- B••••• O•• I••••••••• A••••••• formerMay 28, 2014 to Dec 31, 2014 · Downey, Ca
- C•••••••• F••••••••• I••• BD affiliatedApr 2, 2012 to Jun 23, 2014 · Anaheim, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Apr 2, 2012 · Huntington Park, Ca
- W••• I••••••••• I••• unclassifiedDec 15, 2008 to May 2, 2009 · South Gate, Ca
- C•••• C•••••• S••••••••• L••• to A•••••••• C•••••• W••••• M••••••••• L••left Dec 31, 2022, registered Jan 1, 2025 (732 days) · Affiliated broker-dealer or bank to independent RIA
- R•••• I••••••••• A••••••• L•• to C•••• C•••••• S••••••••• L•••left Feb 28, 2017, registered Feb 27, 2017 (-1 days) · Other
- B••••• O•• I••••••••• A••••••• to R•••• I••••••••• A••••••• L••left Dec 31, 2014, registered Jan 2, 2015 (2 days) · Other
- C•••••••• F••••••••• I••• to B••••• O•• I••••••••• A•••••••left Jun 23, 2014, registered May 28, 2014 (-26 days) · Other
- C•••• I••••••••• S••••••• C•••• to C•••••••• F••••••••• I•••left Apr 2, 2012, registered Apr 2, 2012 (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
- J•••• Q•••••• left C•••• C•••••• S••••••••• L••• for A•••••••• C•••••• W••••• M••••••••• L•• (registered 2025-01-01)Dec 31, 2022 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address