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.
A•••••••• J••••• V•••••
- P••• F•••••••• A•••••••• L•• independent RIA currentsince Aug 2, 2022 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 18, 2017 to Dec 19, 2021 · Garden Grove, Ca
- O•••• F•• I••• formerJun 7, 2016 to Jul 12, 2017 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••• F•••••••• A•••••••• L••left Dec 19, 2021, registered Aug 2, 2022 (226 days) · Wirehouse to independent RIA
- O•••• F•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 12, 2017, registered Jul 18, 2017 (6 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address