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•••••• J••• C•••••••
- S••••••••• A•••• M••••••••• L•• state registered currentsince Apr 6, 2022 · Newport Beach, Ca
- C• P••••••• C••• independent RIADec 8, 2016 to Mar 30, 2020 · Newport Beach, Ca
- P••• C••••••• I••• formerApr 3, 2012 to Dec 9, 2016 · Newport Beach, Ca
- F••••• I••••••••• independent RIAApr 4, 2006 to Sep 30, 2009 · Plano, Tx
- C• P••••••• C••• to S••••••••• A•••• M••••••••• L••left Mar 30, 2020, registered Apr 6, 2022 (737 days) · RIA to a state-registered adviser
- P••• C••••••• I••• to C• P••••••• C•••left Dec 9, 2016, registered Dec 8, 2016 (-1 days) · Other
- F••••• I••••••••• to P••• C••••••• I•••left Sep 30, 2009, registered Apr 3, 2012 (916 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address