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•••• J•••• L•••••••
- M••••• G••••• A••••••• I••• independent RIA currentsince Aug 17, 2023 · Walnut Creek, Ca
- D••••••••• W••••• M••••••••• independent RIAApr 15, 2011 to May 22, 2015 · Walnut Creek, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedMay 18, 2007 to Mar 28, 2011 · Irvine, Ca
- D••••••••• W••••• M••••••••• to M••••• G••••• A••••••• I•••left May 22, 2015, registered Aug 17, 2023 (3009 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to D••••••••• W••••• M•••••••••left Mar 28, 2011, registered Apr 15, 2011 (18 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address