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••• S•••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Feb 28, 2017 · W•••Lake Village, Ca
- F•••••••• W••• G•••• formerJun 2, 2015 to Mar 2, 2017 · Irvine, Ca
- A•••• C••••••• L••• unclassifiedMay 29, 2012 to Jun 26, 2015 · San Juan Capistrano, Ca
- C•••• I••••••••• S••••••• C•••• formerDec 13, 2011 to Jun 4, 2012 · Foothill Ranch, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 10, 2011 · Reno, Nv
- M••••• S•••••• • C•• L•• unclassifiedOct 6, 2008 to Jun 1, 2009 · Reno, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDDec 20, 2007 to Sep 8, 2008 · Glendale, Ca
- F•••••••• W••• G•••• to C•••••••• F••••••••• I•••left Mar 2, 2017, registered Feb 28, 2017 (-2 days) · Other · moved with a team
- A•••• C••••••• L••• to F•••••••• W••• G••••left Jun 26, 2015, registered Jun 2, 2015 (-24 days) · Other
- C•••• I••••••••• S••••••• C•••• to A•••• C••••••• L•••left Jun 4, 2012, registered May 29, 2012 (-6 days) · Other
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Oct 10, 2011, registered Dec 13, 2011 (64 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• • C•• L••left Sep 8, 2008, registered Oct 6, 2008 (28 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