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.
J••••• A••••• Y••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 8, 2024 · Newport Beach, Ca
- M••••• S•••••• wirehouseSep 28, 2018 to May 10, 2024 · Santa Ana, Ca
- O••••••••• • C•• I••• BD affiliatedDec 4, 2012 to Sep 3, 2015 · Newport Beach, Ca
- M••••• S•••••• wirehouseNov 24, 2011 to Dec 11, 2012 · Santa Ana, Ca
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left May 10, 2024, registered May 8, 2024 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O••••••••• • C•• I••• to M••••• S••••••left Sep 3, 2015, registered Sep 28, 2018 (1121 days) · Other
- M••••• S•••••• to O••••••••• • C•• I•••left Dec 11, 2012, registered Dec 4, 2012 (-7 days) · Other
- J••••• A••••• Y•••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-05-08)May 10, 2024 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address