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••••• C•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 29, 2017 · Brea, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 16, 2012 to Jan 27, 2015 · San Juan Capistrano, Ca
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerOct 12, 2009 to Oct 5, 2011 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedJul 8, 2009 to Nov 17, 2009 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 14, 2008 to Dec 8, 2008 · Glendale, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 27, 2015, registered Aug 29, 2017 (945 days) · Other
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 5, 2011, registered Oct 16, 2012 (377 days) · Other
- L•• F•••••••• L•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Nov 17, 2009, registered Oct 12, 2009 (-36 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 8, 2008, registered Jul 8, 2009 (212 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address