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••••• A•••••• A••••••••
- M•••••• BD affiliated currentsince Feb 8, 2022 · Newport Beach, Ca
- E•••••• F•••••••• E•••••• independent RIANov 1, 2018 to Mar 3, 2022 · El Segundo, Ca
- E•••••• F•••••••• S•••••••• L•• formerSep 12, 2017 to Nov 1, 2018 · El Segundo, Ca
- G••••• S•••• W••••• M••••••••• L•• independent RIAJul 29, 2016 to Sep 21, 2017 · Powell, Wy
- J••• M••••• S••••••••• L•• wirehouseMar 5, 2013 to Aug 9, 2016 · Huntington Beach, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 27, 2010 to Mar 1, 2013 · Orange, Ca
- E•••••• F•••••••• E•••••• to M••••••left Mar 3, 2022, registered Feb 8, 2022 (-23 days) · RIA to affiliated broker-dealer or bank · moved with a team
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- G••••• S•••• W••••• M••••••••• L•• to E•••••• F•••••••• S•••••••• L••left Sep 21, 2017, registered Sep 12, 2017 (-9 days) · Other
- J••• M••••• S••••••••• L•• to G••••• S•••• W••••• M••••••••• L••left Aug 9, 2016, registered Jul 29, 2016 (-11 days) · Other · moved with a team
- U••• B•••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Mar 1, 2013, registered Mar 5, 2013 (4 days) · Other
- J••••• A•••••• A•••••••• left E•••••• F•••••••• E•••••• for Mariner (registered 2022-02-08)Mar 3, 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