RIA Intelligence

• W••••• F•••••••• G•••• W•••• I••• state registered current
  since Dec 21, 2022 · Costa Mesa, Ca
• G••••••• A•••••••• L•• independent RIA
  Dec 5, 2018 to Dec 31, 2022 · Costa Mesa, Ca
• I•••••••• A•••••••• L•• BD affiliated
  May 12, 2017 to Dec 7, 2018 · Costa Mesa, Ca
• S•• F••••••••• L•• independent RIA
  Apr 10, 2013 to Nov 29, 2017 · Cost Mesa, Ca
• W••••• F•••••••• G•••• W•••• I••• unclassified
  Jun 5, 2007 to Dec 31, 2017 · Costa Mesa, Ca

• G••••••• A•••••••• L•• to W••••• F•••••••• G•••• W•••• I•••
  left Dec 31, 2022, registered Dec 21, 2022 (-10 days) · RIA to a state-registered adviser
• I•••••••• A•••••••• L•• to G••••••• A•••••••• L••
  left Dec 7, 2018, registered Dec 5, 2018 (-2 days) · RIA to RIA
• W••••• F•••••••• G•••• W•••• I••• to S•• F••••••••• L••
  left Dec 31, 2017, registered Apr 10, 2013 (-1726 days) · Other
• S•• F••••••••• L•• to I•••••••• A•••••••• L••
  left Nov 29, 2017, registered May 12, 2017 (-201 days) · Other

• T••• J• S•••••• left G••••••• A•••••••• L•• for W••••• F•••••••• G•••• W•••• I••• (registered 2022-12-21)
  Dec 31, 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

STATE REGISTEREDderived

Years in industry

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address