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•••••• L•• R••••••••
- M••••••••• C••••••• L•• independent RIA currentsince Aug 29, 2019 · Newport Beach, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 29, 2014 to Aug 20, 2019 · Bakersfield, Ca
- H•• A••••••• S••••••• L•• independent RIAJul 16, 2014 to Aug 12, 2014 · Stevenson Ranch, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 9, 2014 · Santa Clarita, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 10, 2011 to Oct 1, 2012 · Castaic, Ca
- E••••• J•••• national BDNov 17, 2008 to May 6, 2011 · Stevenson Ranch, Ca
- T••••••••• F•••••••• A•••••••• L•• to M••••••••• C••••••• L••left Aug 20, 2019, registered Aug 29, 2019 (9 days) · Affiliated broker-dealer or bank to independent RIA
- H•• A••••••• S••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Aug 12, 2014, registered Aug 29, 2014 (17 days) · Other
- J••• M••••• S••••••••• L•• to H•• A••••••• S••••••• L••left May 9, 2014, registered Jul 16, 2014 (68 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
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left May 6, 2011, registered May 10, 2011 (4 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