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.
- A••••••••• I••• BD affiliated currentsince Apr 14, 2025 · Concord, Ca
- W•••••• S••••••••• I••• BD affiliatedSep 14, 2010 to Sep 13, 2012 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 23, 2007 to Dec 31, 2008 · Los Angeles, Ca
- W•••••• S••••••••• I••• to A••••••••• I•••left Sep 13, 2012, registered Apr 14, 2025 (4596 days) · Other
- U•• F•••••••• S••••••• I••• to W•••••• S••••••••• I•••left Dec 31, 2008, registered Sep 14, 2010 (622 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address