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.
R•••••• A•••••• A••••• A••••••••
- P••• F•••••••• A•••••••• L•• independent RIA currentsince Mar 19, 2018 · Brea, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 20, 2015 to Dec 20, 2017 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseOct 16, 2014 to Oct 24, 2014 · Brea, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 28, 2011 to Mar 20, 2015 · Brea, Ca
- A••••••••• F•••••••• S•••••••• L•• to P••• F•••••••• A•••••••• L••left Dec 20, 2017, registered Mar 19, 2018 (89 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Mar 20, 2015, registered Oct 16, 2014 (-155 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 24, 2014, registered Mar 20, 2015 (147 days) · Wirehouse to affiliated broker-dealer or bank
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address