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.
R••••••• C••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 22, 2022 · Newport Beach, Ca
- C•••••••• F••••••••• I••• BD affiliatedFeb 23, 2022 to Jun 1, 2022 · Anaheim, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 22, 2016 to Feb 3, 2021 · Fountain Valley, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedDec 4, 2015 to Nov 25, 2016 · Santa Ana, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 16, 2012 to Nov 30, 2015 · Santa Ana, Ca
- C•••• I••••••••• S••••••• C•••• formerFeb 3, 2011 to Jan 18, 2012 · Anaheim, Ca
- C•••••••• F••••••••• I••• to W•••• F•••• A•••••••left Jun 1, 2022, registered Jun 22, 2022 (21 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• F••••••••• I•••left Feb 3, 2021, registered Feb 23, 2022 (385 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••• F•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 25, 2016, registered Nov 22, 2016 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• F•••••••• A•••••••• L••left Nov 30, 2015, registered Dec 4, 2015 (4 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 18, 2012, registered Feb 16, 2012 (29 days) · Other
- R••••••• C•••••• left C•••••••• F••••••••• I••• for W•••• F•••• A••••••• (registered 2022-06-22)Jun 1, 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address