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.
W••••• G••• G•••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 6, 2023 · Mission Viejo, Ca
- U••• B•••••• I••••••••• I••• formerJul 1, 2021 to Jun 7, 2023 · Lake Forest, Ca
- P•••• S••••••••• L•• no RAUMNov 23, 2020 to Jul 13, 2021 · San Diego, Ca
- P•••••••• S••••••••• I••• BD affiliatedSep 19, 2019 to Aug 28, 2020 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 17, 2016 to Apr 26, 2019 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 13, 2011 to Mar 7, 2016 · Mission Viejo, Ca
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Jun 7, 2023, registered Nov 6, 2023 (152 days) · Affiliated broker-dealer or bank to wirehouse
- P•••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Jul 13, 2021, registered Jul 1, 2021 (-12 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to P•••• S••••••••• L••left Aug 28, 2020, registered Nov 23, 2020 (87 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to P•••••••• S••••••••• I•••left Apr 26, 2019, registered Sep 19, 2019 (146 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 7, 2016, registered Mar 17, 2016 (10 days) · Wirehouse to wirehouse · moved with a team
- W••••• G••• G••••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2023-11-06)Jun 7, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address