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.
T••••••• D• H••••••••
- S••••• I••••••••• L•• mixed wealth currentsince Feb 20, 2024 · Los Gatos, Ca
- R•• C•••••• M••••••• L•• national BDApr 30, 2015 to Mar 14, 2018 · Newport Beach, Ca
- S••••••• F•••••••• S•••••••• I••• formerDec 11, 2014 to Apr 29, 2015 · Newport Beach, Ca
- M••••• S•••••• wirehouseOct 23, 2013 to Oct 6, 2014 · Newport Beach, Ca
- R•• C•••••• M••••••• L•• to S••••• I••••••••• L••left Mar 14, 2018, registered Feb 20, 2024 (2169 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• F•••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Apr 29, 2015, registered Apr 30, 2015 (1 days) · Other
- M••••• S•••••• to S••••••• F•••••••• S•••••••• I•••left Oct 6, 2014, registered Dec 11, 2014 (66 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address