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.
D••••• M• C••••••••
- L••••••• F••••••••• I••• state registered currentsince Jan 3, 2025 · Newport Beach, Ca
- C•••• C•••••• S••••••••• L••• formerJan 10, 2017 to May 9, 2017 · Los Alamitos, Ca
- H• B•••• I••• formerNov 30, 2011 to Dec 31, 2016 · Los Alamitos, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 12, 2009 to Aug 31, 2011 · Los Alamitos, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 31, 2008 to Apr 2, 2008 · Long Beach, Ca
- C•••• C•••••• S••••••••• L••• to L••••••• F••••••••• I•••left May 9, 2017, registered Jan 3, 2025 (2796 days) · Other
- H• B•••• I••• to C•••• C•••••• S••••••••• L•••left Dec 31, 2016, registered Jan 10, 2017 (10 days) · Other
- M•• I•••••••• S•••••••• L•• to H• B•••• I•••left Aug 31, 2011, registered Nov 30, 2011 (91 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Apr 2, 2008, registered May 12, 2009 (405 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address