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.
N•••••••• C••••
- F••••••• I••••••••• W••••• A•••••• L•• mixed wealth currentsince Feb 8, 2023 · Norwalk, Ca
- I••••••• C•••••• A•••• M••••••••• L•• former sec a••••••Nov 3, 2014 to Jan 29, 2015 · New York, Ny
- B•••••• F•••••••• S••••••• G•••• independent RIAJan 28, 2010 to Oct 6, 2011 · Irvine, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedMay 23, 2008 to May 5, 2009 · Irvine, Ca
- I••••••• C•••••• A•••• M••••••••• L•• to F••••••• I••••••••• W••••• A•••••• L••left Jan 29, 2015, registered Feb 8, 2023 (2932 days) · Other
- B•••••• F•••••••• S••••••• G•••• to I••••••• C•••••• A•••• M••••••••• L••left Oct 6, 2011, registered Nov 3, 2014 (1124 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to B•••••• F•••••••• S••••••• G••••left May 5, 2009, registered Jan 28, 2010 (268 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address