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•••••• S• V••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Laguna Hills, Ca
- S••••••••• A•••••• A•••••••• I••• formerMar 2, 2023 to Jun 14, 2024 · Laguna Hills, Ca
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Apr 6, 2018 · Lodi, Ca
- V••••• W••••• S••••••••• L•• independent RIAOct 20, 2017 to Sep 12, 2023 · Napa, Ca
- V••••• W••••• S••••••••• unclassifiedJun 30, 2017 to Dec 31, 2017 · Napa, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 1, 2014 to Nov 29, 2017 · San Dimas, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- V••••• W••••• S••••••••• L•• to L•• F•••••••• L••left Sep 12, 2023, registered Nov 29, 2017 (-2113 days) · RIA to RIA
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 6, 2018, registered Mar 2, 2023 (1791 days) · RIA to affiliated broker-dealer or bank
- V••••• W••••• S••••••••• to V••••• W••••• S••••••••• L••left Dec 31, 2017, registered Oct 20, 2017 (-72 days) · Other · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to V••••• W••••• S•••••••••left Nov 29, 2017, registered Jun 30, 2017 (-152 days) · Other · moved with a team
- C•••••• S• V•••• left V••••• W••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2017-11-29)Sep 12, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address