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.
J•••• X••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Dec 2, 2022 · Irvine, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 25, 2017 to Nov 30, 2022 · Torrance, Ca
- L•• F•••••••• L•• BD affiliatedMar 1, 2017 to Sep 25, 2017 · Irvine, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMar 22, 2010 to Mar 10, 2017 · City Of Industry, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 17, 2008 to Nov 10, 2009 · San Gabriel, Ca
- C••••• I••••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Nov 30, 2022, registered Dec 2, 2022 (2 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 25, 2017, registered Sep 25, 2017 (0 days) · Other · moved with a team
- U••• B•••••• A•••••••• L•• to L•• F•••••••• L••left Mar 10, 2017, registered Mar 1, 2017 (-9 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• A•••••••• L••left Nov 10, 2009, registered Mar 22, 2010 (132 days) · Other
- J•••• X•••• left C••••• I••••••••• A••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-12-02)Nov 30, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address