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.
Y••• W•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 16, 2023 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseJun 27, 2013 to Jun 27, 2023 · Brea, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 28, 2010 to Jul 1, 2013 · Brea, Ca
- W•••• F•••• A••••••• wirehouseApr 27, 2009 to May 20, 2010 · La Habra, Ca
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 27, 2023, registered Jun 16, 2023 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••left Jul 1, 2013, registered Jun 27, 2013 (-4 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left May 20, 2010, registered May 28, 2010 (8 days) · Other
- Y••• W••• left W•••• F•••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-06-16)Jun 27, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address