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.
C•••• T••••
- V•••• C•••••• P•••••••• L•• independent RIA currentsince Jul 6, 2021 · Pasadena, Ca
- A•••••• A••••••• S••••••• formerOct 25, 2019 to Jul 7, 2021 · Irving, Tx
- 1•• G••••• A••••••• I•• formerOct 6, 2009 to Oct 25, 2019 · Rosemead, Ca
- A•••••• A••••••• S••••••• to V•••• C•••••• P•••••••• L••left Jul 7, 2021, registered Jul 6, 2021 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
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