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.
H••• T•••• N•••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 21, 2022 · Irvine, Ca
- J••• M••••• S••••••••• L•• wirehouseNov 22, 2017 to Aug 30, 2022 · Westminster, Ca
- C••• B•••••••• S•••••••• I••• formerFeb 7, 2012 to Nov 3, 2017 · Cypress, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 5, 2012 · Garden Grove, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 20, 2009 to Jan 3, 2011 · Garden Grove, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Aug 30, 2022, registered Oct 21, 2022 (52 days) · Wirehouse to wirehouse · moved with a team
- C••• B•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Nov 3, 2017, registered Nov 22, 2017 (19 days) · Other
- W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••left Jan 5, 2012, registered Feb 7, 2012 (33 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- H••• T•••• N••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-10-21)Aug 30, 2022 · advisor firm ch•••e · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address