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.
T••••• C•••••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 31, 2022 · Riverside, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 5, 2021 to Feb 11, 2022 · Aliso Veijo, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 23, 2018 to Nov 10, 2021 · Newport Beach, Ca
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Apr 17, 2018 · Irvine, Ca
- T•••••• C••••••• I••• independent RIAJan 21, 2016 to Mar 9, 2018 · Irvine, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 20, 2014 to Nov 29, 2017 · Irvine, Ca
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 10, 2021, registered Nov 5, 2021 (-5 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Apr 17, 2018, registered Oct 23, 2018 (189 days) · RIA to affiliated broker-dealer or bank
- T•••••• C••••••• I••• to L•• F•••••••• L••left Mar 9, 2018, registered Nov 29, 2017 (-100 days) · RIA to RIA · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• C••••••• I•••left Nov 29, 2017, registered Jan 21, 2016 (-678 days) · Other · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address