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.
A•••• T••••• W•••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 23, 2021 · Irvine, Ca
- C•••• C•••••• S••••••••• L••• formerOct 30, 2007 to Apr 14, 2008 · Laguna Niguel, Ca
- W••• I••••••••• I••• unclassifiedSep 12, 2006 to Oct 1, 2007 · Buena Park, Ca
- C•••• C•••••• S••••••••• L••• to W•••• F•••• A•••••••left Apr 14, 2008, registered Dec 23, 2021 (5001 days) · Other
- W••• I••••••••• I••• to C•••• C•••••• S••••••••• L•••left Oct 1, 2007, registered Oct 30, 2007 (29 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address