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•••••• O•••• M•••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Newport Beach, Ca
- M•• F•••••••• S•••••••• I••• formerFeb 24, 2017 to Mar 25, 2017 · Brea, Ca
- P••• A••••• S••••••••• L•• BD affiliatedJun 6, 2013 to Feb 14, 2017 · Claremont, Ca
- P•••• S••••••••• L•• no RAUMDec 14, 2010 to May 8, 2013 · City Of Industry, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedOct 15, 2008 to Dec 3, 2010 · Anaheim, Ca
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Feb 14, 2017, registered Feb 24, 2017 (10 days) · Other
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left May 8, 2013, registered Jun 6, 2013 (29 days) · Other
- I••••••••• A••••••• I••••••••• I••• to P•••• S••••••••• L••left Dec 3, 2010, registered Dec 14, 2010 (11 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address