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.
D••••••• R••••• C•••••
- D••••• W••••• M••••••••• I••• • A• C••••••••• C••••••••• state registered currentsince Nov 18, 2016 · Corona, Ca
- I••• formerAug 31, 2016 to Apr 17, 2017 · San Bernardino, Ca
- L•••••• F••••••••• I••• unclassifiedDec 2, 2015 to Sep 13, 2016 · Redlands, Ca
- S•••••••• F••••••••• I••• formerSep 6, 2013 to Feb 5, 2015 · Missoula, Mt
- H••••• F•••••••• G•••• unclassifiedOct 13, 2011 to Oct 14, 2011 · Irvine, Ca
- W••••• A•••• M••••••• independent RIAOct 11, 2011 to Jun 27, 2013 · San Diego, Ca
- I••• to D••••• W••••• M••••••••• I••• • A• C••••••••• C•••••••••left Apr 17, 2017, registered Nov 18, 2016 (-150 days) · Other
- L•••••• F••••••••• I••• to I•••left Sep 13, 2016, registered Aug 31, 2016 (-13 days) · Other
- S•••••••• F••••••••• I••• to L•••••• F••••••••• I•••left Feb 5, 2015, registered Dec 2, 2015 (300 days) · Other
- W••••• A•••• M••••••• to H••••• F•••••••• G••••left Jun 27, 2013, registered Oct 13, 2011 (-623 days) · Other
- H••••• F•••••••• G•••• to S•••••••• F••••••••• I•••left Oct 14, 2011, registered Sep 6, 2013 (693 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address