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.
M••••• P•••••• M•••••••
- M•••••• W••••• independent RIA currentsince Aug 13, 2012 · Irvine, Ca
- T••••• F••••• O•••••• I••• independent RIAOct 2, 2007 to Oct 14, 2011 · Newport Beach, Ca
- F•••••• W••••• M••••••••• L•• formerApr 18, 2007 to Oct 4, 2007 · Independence, Oh
- T••••• F••••• O•••••• I••• to M•••••• W•••••left Oct 14, 2011, registered Aug 13, 2012 (304 days) · Other
- F•••••• W••••• M••••••••• L•• to T••••• F••••• O•••••• I•••left Oct 4, 2007, registered Oct 2, 2007 (-2 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address