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.
M•••••• G•••• F••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 9, 2024 · Irvine, Ca
- U••• B•••••• I••••••••• I••• formerMay 10, 2019 to Feb 16, 2024 · Mission Viejo, Ca
- W•••••• S••••••••• I••• BD affiliatedJan 27, 2017 to May 14, 2019 · Newport Beach, Ca
- B••••••••• T••• M••••••••• L•• unclassifiedDec 12, 2016 to Jan 27, 2017 · Newport Beach, Ca
- W•••••• S••••••••• I••• BD affiliatedSep 8, 2015 to Dec 12, 2016 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Sep 9, 2015 · Rancho Palos Verdes, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 11, 2008 to Jan 3, 2011 · Calabasas, Ca
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Feb 16, 2024, registered Feb 9, 2024 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• S••••••••• I••• to U••• B•••••• I••••••••• I•••left May 14, 2019, registered May 10, 2019 (-4 days) · Affiliated broker-dealer or bank to another
- B••••••••• T••• M••••••••• L•• to W•••••• S••••••••• I•••left Jan 27, 2017, registered Jan 27, 2017 (0 days) · Other · moved with a team
- W•••••• S••••••••• I••• to B••••••••• T••• M••••••••• L••left Dec 12, 2016, registered Dec 12, 2016 (0 days) · Other · moved with a team
- W•••• F•••• A••••••• to W•••••• S••••••••• I•••left Sep 9, 2015, registered Sep 8, 2015 (-1 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M•••••• G•••• F•••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2024-02-09)Feb 16, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address