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.
F••••• S•••••
- O•••• I••••••••• I••• BD affiliated currentsince May 3, 2022 · San Juan Capistrano, Ca
- C••• B•••••••• S•••••••• I••• formerDec 19, 2012 to May 5, 2022 · Tustin, Ca
- W•••• F•••• A••••••• wirehouseMay 24, 2012 to Dec 7, 2012 · Corona, Ca
- C••• B•••••••• S•••••••• I••• to O•••• I••••••••• I•••left May 5, 2022, registered May 3, 2022 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••left Dec 7, 2012, registered Dec 19, 2012 (12 days) · Other
- F••••• S••••• left C••• B•••••••• S•••••••• I••• for O•••• I••••••••• I••• (registered 2022-05-03)May 5, 2022 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address