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.
N••••••• B••••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 6, 2025 · Newport Beach, Ca
- R•• S••••••••• I••• BD affiliatedJul 6, 2016 to Feb 27, 2025 · Los Angeles, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedAug 11, 2014 to Jul 5, 2016 · Newport Beach, Ca
- U••• F•••••••• P••••••• S••••••• formerJun 7, 2011 to Jul 16, 2014 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 25, 2010 to May 9, 2011 · Long Beach, Ca
- M••••• S•••••• wirehouseDec 15, 2009 to Jul 21, 2010 · Laguna Niguel, Ca
- R•• S••••••••• I••• to W•••• F•••• A•••••••left Feb 27, 2025, registered Feb 6, 2025 (-21 days) · RIA to wirehouse
- A••••• A•• P••••••• S••••••• to R•• S••••••••• I•••left Jul 5, 2016, registered Jul 6, 2016 (1 days) · Other
- U••• F•••••••• P••••••• S••••••• to A••••• A•• P••••••• S•••••••left Jul 16, 2014, registered Aug 11, 2014 (26 days) · Other
- U••• B•••••• A•••••••• L•• to U••• F•••••••• P••••••• S•••••••left May 9, 2011, registered Jun 7, 2011 (29 days) · Other
- M••••• S•••••• to U••• B•••••• A•••••••• L••left Jul 21, 2010, registered Aug 25, 2010 (35 days) · Other
- N••••••• B•••••• left R•• S••••••••• I••• for W•••• F•••• A••••••• (registered 2025-02-06)Feb 27, 2025 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address