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.
G••• S•••• H•••••
- P••• F•••••••• A•••••••• L•• independent RIA currentsince Mar 8, 2019 · Franklin, Tn
- J••• M••••• S••••••••• L•• wirehouseSep 13, 2017 to Mar 8, 2019 · Costa Mesa, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 22, 2016 to Aug 24, 2017 · Irvine, Ca
- R•• C•••••• M••••••• L•• national BDFeb 12, 2014 to Oct 14, 2015 · La Jolla, Ca
- M••••• S•••••• wirehouseAug 25, 2010 to Feb 10, 2014 · Newport Beach, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedFeb 22, 2010 to Jul 26, 2010 · Irvine, Ca
- J••• M••••• S••••••••• L•• to P••• F•••••••• A•••••••• L••left Mar 8, 2019, registered Mar 8, 2019 (0 days) · Wirehouse to independent RIA
- B••••••• I••••••••• S•••••••• I••• ••••• to J••• M••••• S••••••••• L••left Aug 24, 2017, registered Sep 13, 2017 (20 days) · Other · moved with a team
- R•• C•••••• M••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Oct 14, 2015, registered Jun 22, 2016 (252 days) · Other
- M••••• S•••••• to R•• C•••••• M••••••• L••left Feb 10, 2014, registered Feb 12, 2014 (2 days) · Wirehouse to affiliated broker-dealer or bank
- G•••••• S•••• W••••• S•••••••• L••• to M••••• S••••••left Jul 26, 2010, registered Aug 25, 2010 (30 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