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••• P••• D• G••••• J•••••
- S••••••••• C••••••• I••• independent RIA currentsince Jan 27, 2022 · Monrovia, Ca
- P•••••• A••••••• I••• mixed wealthFeb 15, 2017 to Dec 20, 2021 · Temecula, Ca
- A••••••• A••••••• S••••••• formerMay 10, 2016 to Dec 27, 2016 · Chino Hills, Ca
- E•• F•••••••• A••••••• independent RIAJan 20, 2015 to Mar 10, 2016 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMMar 25, 2011 to Dec 23, 2014 · Ontario, Ca
- P•••••• A••••••• I••• to S••••••••• C••••••• I•••left Dec 20, 2021, registered Jan 27, 2022 (38 days) · RIA to RIA
- A••••••• A••••••• S••••••• to P•••••• A••••••• I•••left Dec 27, 2016, registered Feb 15, 2017 (50 days) · Other
- E•• F•••••••• A••••••• to A••••••• A••••••• S•••••••left Mar 10, 2016, registered May 10, 2016 (61 days) · Other · moved with a team
- P•••• S••••••••• L•• to E•• F•••••••• A•••••••left Dec 23, 2014, registered Jan 20, 2015 (28 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address