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.
F•••• A••••• D••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 13, 2018 · Orange, Ca
- M•••••• A•••••• N•••••• BD affiliatedJul 6, 2016 to Jul 13, 2018 · Anaheim, Ca
- S•••••••• W••••• A••••••• G•••• formerApr 14, 2014 to Jul 6, 2016 · Santa Ana, Ca
- I••••••••• F•••••••• P••••••• BD affiliatedMay 31, 2012 to Apr 14, 2014 · Santa Ana, Ca
- L•• F•••••••• L•• BD affiliatedMay 29, 2012 to Feb 2, 2016 · Santa Ana, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 18, 2008 to May 31, 2012 · Glendale, Ca
- W•••••• • R••• formerJul 6, 2006 to Nov 29, 2007 · Irvine, Ca
- M•••••• A•••••• N•••••• to C••••••••• F•••••••• N••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · RIA to affiliated broker-dealer or bank
- S•••••••• W••••• A••••••• G•••• to M•••••• A•••••• N••••••left Jul 6, 2016, registered Jul 6, 2016 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Feb 2, 2016, registered May 31, 2012 (-1342 days) · Other · moved with a team
- I••••••••• F•••••••• P••••••• to S•••••••• W••••• A••••••• G••••left Apr 14, 2014, registered Apr 14, 2014 (0 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 31, 2012, registered May 29, 2012 (-2 days) · Other
- W•••••• • R••• to V•••• F•••••••• A•••••••• I•••left Nov 29, 2007, registered Jan 18, 2008 (50 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address