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•••••• Y•••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jun 20, 2017 · Costa Mesa, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMar 22, 2017 to Jul 10, 2017 · Newport Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 16, 2015 to Feb 17, 2017 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 5, 2015 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerApr 26, 2010 to Oct 1, 2012 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDOct 17, 2008 to Dec 8, 2008 · Orlando, Fl
- U••• B•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jul 10, 2017, registered Jun 20, 2017 (-20 days) · Other
- C•••••••• G••••• M•••••• I••• to U••• B•••••• A•••••••• L••left Feb 17, 2017, registered Mar 22, 2017 (33 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Nov 5, 2015, registered Nov 16, 2015 (11 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Dec 8, 2008, registered Apr 26, 2010 (504 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address