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•••• M•••••• N•••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Oct 28, 2024 · Newport Beach, Ca
- A•• C••••••• L•• independent RIAJul 7, 2021 to Feb 10, 2022 · Pasadena, Ca
- B••••• A••••••• L•• formerJan 27, 2014 to Oct 31, 2024 · Pasadena, Ca
- B••••• A••••••• L•• to A•• C••••••• L••left Oct 31, 2024, registered Jul 7, 2021 (-1212 days) · RIA to RIA · moved with a team
- A•• C••••••• L•• to B••••• P••••• A•••••••• L••left Feb 10, 2022, registered Oct 28, 2024 (991 days) · RIA to RIA
- D•••• M•••••• N••• left B••••• A••••••• L•• for A•• C••••••• L•• (registered 2021-07-07)Oct 31, 2024 · Advisor changed firm · fact
- D•••• M•••••• N••• left A•• C••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-10-28)Feb 10, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address