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.
R••• M••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 1, 2018 · San Diego, Ca
- E•••••• F•••••••• S•••••••• L•• formerMar 1, 2016 to Nov 1, 2018 · Costa Mesa, Ca
- F••• A••••••• S•••••••• I••• formerSep 23, 2014 to Mar 24, 2015 · Newport Beach, Ca
- M• H••••••• S••••••••• I••• BD affiliatedJun 29, 2011 to Oct 28, 2011 · Newport Beach, Ca
- M•••••••• A••••••• formerApr 26, 2011 to Nov 19, 2012 · Irvine, Ca
- A• H•••••• I••• unclassifiedDec 5, 2007 to Sep 24, 2010 · Camarillo, Ca
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- F••• A••••••• S•••••••• I••• to E•••••• F•••••••• S•••••••• L••left Mar 24, 2015, registered Mar 1, 2016 (343 days) · Other
- M•••••••• A••••••• to M• H••••••• S••••••••• I•••left Nov 19, 2012, registered Jun 29, 2011 (-509 days) · Other
- M• H••••••• S••••••••• I••• to F••• A••••••• S•••••••• I•••left Oct 28, 2011, registered Sep 23, 2014 (1061 days) · Other
- A• H•••••• I••• to M•••••••• A•••••••left Sep 24, 2010, registered Apr 26, 2011 (214 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