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•• P••••• T•••
- L•• F•••••••• L•• BD affiliated currentsince Nov 1, 2016 · Irvine, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 17, 2016 · Orange, Ca
- F•••• A••••• S••••••••• I••• formerJun 22, 2010 to Jul 2, 2012 · Irvine, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedFeb 2, 2007 to Jun 21, 2010 · Irvine, Ca
- F•••• A••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 17, 2016, registered Nov 1, 2016 (-16 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to F•••• A••••• S••••••••• I•••left Jun 21, 2010, registered Jun 22, 2010 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address