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•••• R••• R••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince May 6, 2013 · Irvine, Ca
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerAug 18, 2009 to May 13, 2013 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 25, 2007 to Jun 3, 2008 · Rancho Mirage, Ca
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C•••••••• F••••••••• I•••left May 13, 2013, registered May 6, 2013 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Jun 3, 2008, registered Aug 18, 2009 (441 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